Operations/Trading/Compliance Specialist | Greensboro, North Carolina

Reference Number: HRJ7153
Location: Greensboro, North Carolina

Judson Group has partnered with an independent RIA to add an Operations/Trading/Compliance Specialist to support the firm’s financial advisors with tasks related to back-office operations.

The ideal candidate has financial services experience and a desire to work in a team-based environment in support of HNW client relationships. The ideal candidate is passionate about client service, demonstrates exceptional communication and time management skills, and approaches their work with an eagerness to ensure accuracy and expertise in all client deliverables.

Responsibilities:

  • Manage client needs in all aspects of service including opening/updating client accounts, money transfers, drafting documentation, and client communications.
  • Act as a liaison between advisors, clients, and custodians to process client requests and resolve issues.
  • Assist CCO in SEC compliance and perform routine data audits.
  • Rebalance accounts and executed trades as needed.
  • Maintain client data ensuring accuracy, security, and timeliness.
  • Prepare various reports for client reviews and other miscellaneous meetings.

Requirements:

  • 3+ years’ experience with a financial services or RIA firm supporting HNW clients.
  • Experience successfully completing paperwork for new accounts, handling client requests, and meeting/event coordination.
  • Knowledge of back-office operations of a financial planning and investment management firm.
  • Excellent technology skills: Typing proficiency, Word, Excel, PowerPoint, and CRM systems.
  • Ability to work independently, with little oversight, but with accountability to the client and the organization.

Compensation: Attractive base salary with benefits package

Location: Greensboro, North Carolina

Reference Number: HRJ7153

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