The RIA Operations Specialist will serve as the expert on all aspects of our managed account model management and trading platform, as well as all associated custody, clearance, and order execution processing. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet, Orion and our new digital partner, are used to facilitate a strategy, from proposal through to account investing. They will be expected to fully understand our policies and procedures around all aspects of advisory operations and be able to effectively communicate those to our IARs. The candidate will also work on various reports on a periodic basis which may include communication with different areas within the company. This role will be instrumental in contributing to the operation’s broad approach to driving growth efficiency across the customer lifecycle!
You are
A consummate professional with excellent verbal and written communication skills. You are self-motivated and goal oriented, and you thrive in a fast-paced environment where best in class customer service is your standard. You are patient, empathetic, detail orientated, and work well independently in a team setting.
You will
Complete operational tasks related to New Accounts and Maintenance items for the Pershing and Envestnet.
Possess a broad mastery of service and administrative functions, including in-depth knowledge of complex product features and processing systems.
Participate in our Quality Assurance program by reviewing processed items, reporting outcome and training according to documented procedures
Fully support operationally our Non-Purpose Lending program
Develop, analyze, and maintain metrics for measuring
Serve as point of contact for customer inquiries from our Investment Advisers, 3rd Party sponsors, and other internal Guardian teams
Assist with peer-to-peer coaching and education as it relates to routine, specialty or complex product features or processing systems.
Communicate with partners across various platforms(such as phone, email) to respond to and resolve outstanding items.
Collaborate with various internal departments including: Compliance, licensing, operations, internal clearing firm, and 3rd Party Sponsors/Envestnet
You have
3 or more years of extensive industry experience
College degree or equivalent work experience. Securities license preferred (Series 7 or 6)
Knowledge of retail client onboarding/new account process, non-purpose lending and advisory products
The skills for multi-tasking, collaboration with others, and excellent time management/organizational skills
Possess a high degree of self-confidence, work independently and have rapid decision-making ability. Must demonstrate strong and analytical and organizational skills.
Demonstrate ownership and follow through when reviewing workflows, exceptions and anomalies and offer practical solutions.
Proficiency in Outlook, Microsoft Word and creating Excel spreadsheets and PowerPoint presentations is preferred.
Experience in the managed account space, specifically with Envestnet or Orion systems
Experience with Pershing, Fidelity and Schwab custodial systems
Salary Range
$56,680.00 - $85,015.00
The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.
Our Promise
At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.
Inspire Well-Being
As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues.
Health Care
Choice of [high deductible/copay] medical plans* with prescription drugs, including coverage for fertility and transgender inclusive benefits
Dental plan
Vision plan
Health care accounts – flexible spending, health reimbursement, and health savings accounts
Critical illness insurance
Life and Disability Insurance
Retirement and Financial
401(k) retirement plan with a company match, plus an annual age/service-based Company contribution and an annual profit-sharing contribution, if applicable
Complimentary 1:1 financial guidance with a licensed Fidelity representative
Time Off and Remote Work
Flexible work arrangements (part in-person/part remote)
Unlimited paid time off for most roles plus time off for volunteering, jury duty, voting, and bereavement
Personal holidays for colleagues to use in recognition of religious, cultural, or civic days
Paid parental leave and paid family and medical leave policies
Emotional Well-being and Work-Life
Emotional well-being, mental health, and work/life resources powered by Spring Health
Wellness programs, including fitness program and equipment reimbursement
Child, adult, and elder back-up care support through Bright Horizons
Adoption assistance
College planning
Tuition reimbursement
Student loan assistance
Commuter benefits in select metropolitan areas
Equity & Inclusion
Opportunities to build inclusive and meaningful connections through involvement in colleague-led affinity groups:
Employee Resource Groups:
Colleague Connection Committees
Community Involvement Committees
A culture that encourages colleagues to bring their authentic selves to work
Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.
Equal Employment Opportunity
Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.
Accommodations
Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact applicant_accommodation@glic.com.
Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.
