Benefits:

401(k) matching

Bonus based on performance

Company parties

Competitive salary

Dental insurance

Health insurance

Paid time off

Parental leave

Opportunity for advancement

Training & development

Vision insurance

Step into an instrumental role. Work as an employee of an independent advisor franchisee with a financial advisory practice of Ameriprise Financial. As an Operations Specialist, you will play a key role in delivering a distinctive client experience that sets our practice apart.

We are a dynamic team of professionals dedicated to “Clients First” - engaging, informing, and empowering so that they can confidently navigate life's journey.

The Operations Specialist partners with the Operations Trading Specialist to serve as a cross-trained resource for trading and investment operations. This role focuses on delivering operational excellence through workflow management, client service support, account administration, and reporting.

Key Responsibilities

Trading Operations

· Crosstrain on trading, discretionary account management, and investment operations processes.

· Execute trades, implement account rebalances, process money movement requests, and support portfolio implementation in accordance with advisor direction and firm procedures.

· Monitor incoming funds, ACAT transfers, periodic arrangements, and other investment related transactions.

· Perform quality control reviews and operational documentation related to trading and investment activities.

· Provide back-up support for the Operations Trading Specialist during absences, periods of increased volume, or as business needs require.

Client Service & Account Administration

· Support client onboarding, account opening, and account maintenance activities.

· Prepare and process paperwork for client requests, including beneficiary changes, address updates, transfers, distributions, and account servicing.

· Assist with money movement requests and ensure timely and accurate processing.

· Maintain documentation and records in accordance with Ameriprise and firm requirements.

· Follow up proactively on outstanding items to ensure a positive client experience.

Operations & Workflow Management

· Manage daily operational workflows and service requests through CRM and Ameriprise systems.

· Monitor task queues, alerts, and operational reports to ensure timely completion of activities.

· Coordinate administrative processes across advisors and support team members.

· Identify opportunities to improve operational efficiency and enhance team productivity.

· Assist with business continuity, operational projects, and process documentation.

Compliance & Risk Management

· Adhere to Ameriprise Financial policies, firm procedures, and regulatory requirements.

· Maintain complete and accurate documentation for operational activities.

· Protect client confidentiality and ensure secure handling of sensitive information.

· Support audits, compliance reviews, and operational controls as required.

Advisor & Team Support

· Collaborate with advisors, operations personnel, and corporate partners to support client needs.

· Provide operational support for advisor initiatives, meetings, and client service activities.

· Serve as a resource for team members regarding procedures, workflows, and operational best practices.

· Support office-wide initiatives and special projects as assigned.

Reporting & Business Analysis

· Generate and maintain operational, client service, and business reports.

· Assist with data analysis, quality control reviews, and reporting needs for advisors and leadership.

· Verify accuracy of account information, transactions, and operational records.

· Support maintenance of client and business data across systems.

Tools & Systems

· Ameriprise Client Management and operational systems

· CRM platforms and workflow management tools

· Status Manager

· Vestmark and Thomson (backup support functions)

· Portfolio and Performance reporting

· Microsoft Office Suite and reporting applications

Key Traits

· Desire and mindset to uphold the mission and values of Impact Financial Group.

· High level of professionalism, organization, and interpersonal skills.

· Strong commitment to delivering exceptional client service.

· Ability to communicate effectively with clients and team members at all levels of the organization.

· Initiative, adaptability, and willingness to support a variety of operational functions.

· Detail-oriented with strong follow-through and problem-solving abilities.

· Adherence to rules and regulations as stated and required by the advisor and Ameriprise Financial.

Qualifications

· Bachelor's Degree preferred.

· Two or more years of experience in financial services, operations, client service, or related field.

· Working knowledge of brokerage, advisory, and financial planning operations preferred.

· Series 7 and Series 66 (or willingness to obtain) preferred but not required.

· Proficiency with CRM systems, Microsoft Office applications, and financial services technology platforms.

· Commitment to ongoing financial services and industry education.

Compensation and Benefits

Expected Base Pay Range: Based on experience, qualifications, and licensing.

Additional Compensation:

· Quarterly Bonus Plan

· Health Benefit Plans (Medical, Vision, Dental)

· Paid Time Off

· Parental Leave

· 401(k) Match

· Tuition Reimbursement

· Career Development Opportunities