The Operations Specialist's manage daily operations and provide support to the Wealth/Financial Advisors and the Client Service Associates/Assistants. They supports the advisors and their staff by performing administrative tasks that are not client facing. They ensure that all Northwest Capital Management (NWCM) and LPL Financial operations are documented and all regulatory requirements are met. They also ensure the readiness for regulatory exams and audits.
Responsibilities
Review paperwork for accuracy and completeness and open accounts in ClientWorks and Salesforce
Process transfer paperwork, update log and work with broker/dealer and outside firms to resolve issues to ensure transfers are completed in a timely manner
Maintain client account files and assist with filing
Cover front desk, as needed
Upholding all firm and LPL policies and procedures
Establishing and amending operational processes and standards for brokerage and advisory business
Providing support to Financial and Wealth Management Advisors and Client Service Assistants on operational issues
Remains cognizant of and adheres to NWFCU policies and procedures as well as regulations pertaining to the Bank Secrecy Act (BSA)
Qualifications
High School Diploma or equivalent
Minimum 1 year experience in a back office/operations or customer service type role (experience in the financial services industry is preferred)
Demonstrated strong attention to detail
Ability to work independently with minimal direct management supervision
Demonstrated initiative and resourcefulness as a self-starter
Effective oral and written communication skills
Ability to prioritize activities to meet deadlines
Proven ability to work well in a team environment
Adaptable to change as we evolve
Knowledge of handling general office equipment( remote deposit technology, scanners, printers, fax)
Proficient in technology, especially Microsoft Office applications and Salesforce CRM systems
Ability to work onsite in our Herndon, VA headquarters
Ability to work the hours of M-F 8am - 4:30pm
EEO Notice
Northwest Federal Credit Union is an Equal Opportunity Employer and will consider all qualified applicants without regard to race, color, age, religion, sex, sexual orientation, gender identity, genetic information, national origin, disability, protected veteran status or any other classification protected by law.
NWFCU complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact the Human Resources Department at 703-709-8900 or HRDepartment@nwfcu.org.