The Client Operations Specialist provides essential support across account servicing, asset movement, documentation, and client communication. This role ensures a smooth, accurate, and compliant experience for clients while supporting advisors with day‐to‐day operational needs.
Key Responsibilities
Asset Movement & Transactions:
Process ACAT and non‐ACAT transfers, ACH requests, journals, and domestic/international wires. Set up on‐demand and periodic contributions and distributions.
New Account Opening & Maintenance:
Open, update, and close client accounts.
Complete client information changes, restriction removals, advisory updates, POA/TPAI additions, trust updates, and statement linking.
Manage online access setup, linking, and de‐linking.
Verify documentation for accuracy and compliance.
Client Service & Administrative Support:
Prepare and send client forms, account documents, secure emails, and e‐sign packages.
Generate reports, meeting materials, and maintain eMoney data.
Support existing annuity contracts and handle estate processing, including death claims, new account setup, beneficiary communication, and asset movement.
Assist with trading activities such as mutual fund conversions, trade corrections, dividend reinvestment, and breakpoint reviews.
Process check deposits and manage incoming/outgoing mail.
Conduct initial outreach to prospects and gather data for new clients.
Review and respond to daily action items and follow‐ups.
Perform general office tasks including supply ordering and meeting scheduling.
