Operations Specialist

Job Description


We are an independent boutique wealth management firm located in Laguna Hills seeking an experienced OPERATIONS MANAGER including processing new business, client billing and assisting the advisor with client accounts. Creating an outstanding experience each time we interact with our clients is our highest priority.

Roles & Responsibilities:

  • Understanding of money movement, trading and settlement systems
  • Process and track new business, open accounts, account transfers, and client service requests
  • Client invoicing/collections
  • Prepare material for client reviews each quarter
  • Assist with portfolio rebalancing and account trades as requested by advisor
  • Maintain required Minimum Distribution (RMD) list and monitor to ensure RMDs are taken each year
  • Maintain accounts in Customer Relationship Management system (CRM).
  • Coordinates state, FINRA, and Insurance Licensing
  • Maintain paperless office
  • Assist and back-up other team members as needed
  • Collaborative personality, enjoys working with others and coaching staff
  • Demonstrate effective verbal and communication skills


  • FINRA Series 7 and 66 and California Life and Health Insurance license (current, in-progress, or willing to acquire)
  • 3-5 years of financial industry experience in operations/client services (Preferred)
  • BA/BS degree (Preferred)
  • Redtail, QuickBooks, and Albridge experience a plus
  • Strong decision-making skills, highly organized and able to balance multiple projects
  • Excellent technical skills including fluency in Microsoft Office
  • Excellent written, verbal, and communication skills
  • You are a fast learner and proactive
  • If registered, must have clean U-4
  • Local candidates only please

Job Type:

Full-Time: M-F 8:00am-4:30pm

To Apply

Please send your cover letter and resume

Job Type: Full-time

Pay: DOE

COVID-19 considerations:
Private office