Operations & Billing Specialist

Primary Purpose:

The Operations & Billing Specialist is responsible for managing, implementing, and executing the client fee billing process for the Registered Investment Adviser (RIA) platform, which includes investment management across multiple custodians, financial planning, and consulting arrangements. This role is also responsible for managing and completing the various regulatory registration and licensing filings on behalf of the RIA and advisors.

Key Responsibilities and Essential Functions:

• Manage the client fee billing process for investment management, financial planning and consulting arrangements through the RIA platform and affiliated advisors.
• Manage technology offerings related to advisor business processing, client reporting, workflow, billing, record-retention, while leveraging competitive resources.
• Analyze and review advisor payout calculations utilizing system applications and oversee the notification process.
• Interact daily with advisors and support staff, process new business and maintenance requests, address and troubleshoot requests and answer inquiries, or direct them to appropriate areas, in a timely manner.
• Use feedback from advisors to improve problem-solving techniques and identify ways to improve efficiency in processes and procedures.
• Identify, research and resolve billing and processing issues on the systems applications, ensure timely resolution and follow-up.
• Serve as an effective advocate for advisors and clients by collaborating with multiple departments to ensure prompt and consistent delivery of a VIP customer experience.
• Interact with custodians and technology partners as it relates to assigned tasks and projects.
• Commit to continuous education and professional development.
• Develop cross-functional understanding of department policies, procedures, and responsibilities.
• Manage and coordinate department projects and initiatives.
• Assist in projects as assigned to further support the needs of the business.

Job Specifications:

• Bachelor's degree in finance, business administration, or relevant field, preferred.
• Experience in the financial services industry with fee-based advisory, brokerage, or mutual fund company, required.
• Experience working with Charles Schwab, Pershing Advisor Solutions, Black Diamond, or Laserfiche, preferred.
• Knowledge of SEC and state advisory regulations, preferred.
• FINRA Registrations, SIE, Series 7, and Series 66 or willingness to obtain within six (6) months, required.
• Highly proficient with Excel, required.
• Personable, approachable with a positive attitude in providing service excellence.
• Ability to manage multiple priorities and projects; prioritize, triage, and resolve conflict effectively.
• Ability to work independently with effective time management, organization, and problem-solving skills.
• Strong and professional verbal and written communication skills. Active listener.
• Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition and grammar.