Operations Specialist (Securities)

The Operations Specialist (Securities) provides operational and client service support to Financial Advisors and their teams, helping ensure an efficient, organized, and exceptional client experience. This role manages key service requests, account administration, documentation, and internal workflows while ensuring activities are completed accurately and in accordance with firm policies and procedures.

Job Duties and

Responsibilities

• Provide day-to-day operational and client service support to Financial Advisors and team members.
• Coordinate and manage client service requests from initiation through completion, ensuring timely and accurate follow-up.
• Assist with new account opening, client onboarding, account maintenance, and ongoing servicing, including gathering required information and documentation.
• Facilitate account-related operational requests, including money movements, account updates, transfers, and other service activities in accordance with firm procedures.
• Review client documentation for completeness and accuracy and proactively resolve outstanding or incomplete items.
• Maintain accurate client and account information within firm-approved systems and track pending operational activities.
• Partner with internal operations, service, compliance, and support teams to research and resolve client and account-related issues.
• Assist clients with firm-approved digital tools, online account access, electronic signatures, document delivery, and other digital capabilities.
• Maintain knowledge of firm policies, procedures, technology, and operational requirements while identifying opportunities to improve workflows, team efficiency, and the overall client experience.
• Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Firm authority in a timely fashion.
• Performs other related duties as required.

The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job

Pinnacle is an Equal Opportunity Employer committed to fostering an inclusive work environment.