Senior Operations Specialist - NWCM

Overview

The Senior Operations Specialist will assist the AVP of Operations/OSJ with oversight of the daily processes and procedures, ensuring the team is following all documented workflows and that all regulatory requirements are being met. The Senior Operations Specialist will work with the AVP of Operations/OSJ to ensure readiness for LPL branch exams or audits from any other regulatory authority. They will also assist in the day-to-day training and development of the Operations Specialist I and Operations Specialist II roles.

Responsibilities

• Review, maintain and update the Operations Manual and procedures for NWFA as applicable
• Complete work for advanced situations with a limited degree of supervision
• Has broad knowledge of operational procedures and tools
• Utilizes multiple skills and capabilities gained through job-related training and considerable work experience
• Takes a broad perspective to solving problems
• Review daily workflows in Operations to ensure all tasks are completed
• Prepare internal reports in specified timeframes for compliance and analysis purposes
• Communicate action items from broker dealer to Advisors
• Support staff to ensure all new accounts and money movement tasks are accurately completed
• Execute a post review of newly opened brokerage accounts to ensure that all broker dealer and firm requirements for account openings are met
• Must be organized, detail-oriented and be able to multitask
• Demonstrates a commitment to accuracy by delivering high-quality work
• Sets a positive example for the team
• Demonstrates accountability
• Communicates effectively with employees within and across departments
• Remain cognizant of and adheres to NWFCU policies and procedures as well as regulations pertaining to the Bank Secrecy Act (BSA)

Qualifications

Required

• High School Diploma or equivalent 
• Minimum 3 years of back office operations experience 
• Minimiun 1 year experience working in the investment industry
• Effective oral and written communication skills
• Ability to prioritize time and activities to meet deadlines
• Accuracy and detail-orientation
• Ability to review and analyze or interpret data and documentation and to make decisions
  regarding subsequent actions
• Collaboration and relationship building skills
• Ability to work the hours of M-F 8am-4:30pm
• Ability to work onsite in our Herndon, VA headquarters

Preferred

• FINRA Series 6,63 or 7
• Familiarity with Hybrid RIA structure

Additional Compensation

Northwest Federal offers a comprehensive and inclusive benefits program, which includes medical, dental and vision plans for you and your family, 4 weeks paid vacation, 12 paid holidays, 24 hours of paid volunteer time, parental leave, company paid disability and life insurance, and a generous 401(k) plan with up to 7% employer match.

EEO Notice

Northwest Federal Credit Union is an Equal Opportunity Employer and will consider all qualified applicants without regard to race, color, age, religion, sex, sexual orientation, gender identity, genetic information, national origin, disability, protected veteran status or any other classification protected by law.

NWFCU complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. 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 the Human Resources Department at 703-709-8900 or HRDepartment@nwfcu.org.