The Operations Assistant supports Financial Professionals with the operational and administrative management of their investment practice. This role focuses on executing day-to-day operational workflows, managing documentation and service requests, and maintaining organized, compliant processes to ensure efficient practice operations. This role does not make sales, maintain a book of business, or provide financial advice or recommendations to clients. Licensing is not required for this position.
The Operations Assistant role is designed to be flexible and may be tailored using defined role task checklists to align with the specific operational needs of a practice.
Core Responsibilities
Support Financial Professionals with operational and administrative functions related to daily practice management
Manage workflows related to account maintenance, service requests, and operational follow-up
Prepare, process, and track paperwork to ensure timely and accurate completion
Maintain accurate client and operational records in firm-approved systems and tools (e.g., CRM, AdviceWorks/SmartWorks)
Track outstanding operational items and follow up to ensure resolution
Maintain organized electronic and physical filing systems in accordance with compliance standards
Support practice processes related to client servicing, internal coordination, and operational efficiency
Partner with Financial Professionals to support workflow organization and process improvement
Show the full description
Participate in regular meetings with Financial Professionals to align on operational priorities and tasks
Adhere to firm policies and regulatory requirements while maintaining confidentiality and data integrity
Required Knowledge, Skills, and Abilities
Strong organizational and time-management skills
High attention to detail in a regulated environment
Ability to manage multiple priorities and deadlines
Strong written and verbal communication skills
Proficient with technology and ability to learn firm systems (Microsoft Office including Word, Excel, and PowerPoint)
Minimum Required Education & Experience
High School diploma or equivalent
Some college preferred
Travel Requirements: 0%
Compensation: The base salary range for this role in Albany, NY is $22.60 - $27.40 plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.
