Operations Specialist - NWCM

Overview

The Operations Specialist provides support to the Wealth/Financial Advisors and their support staff of Client Service Associates/Assistants.  In general the Operations Specialist supports the advisors and their staff by performing administrative tasks that are not client facing. They ensure that all Northwest Capital Management (NWCM) and LPL Financial operations are documented and all regulatory requirements are met. They also ensure the readiness for regulatory exams and audits.

Responsibilities

• Provide administrative support to Financial and Wealth Management Advisors and their respective Client Service Assistants
• Facilitate effective communication with sales and support staff to ensure processes and tasks are completed efficiently and effectively
• Help to manage tasks via the Operations mailbox
• Receive, open, review, and sort all incoming mail and deliver to internal staff
• Cover the front desk as needed
• Archive completed paperwork to our online documents retention systems
• Uphold all firm and LPL policies and procedures
• Uphold all FINRA, SEC, and state rules and regulations
• Research and resolve customer complaints or other issues
• Perform account maintenance
• Process transfer paperwork, updating logs, and working with broker/dealer and outside firms to resolve issues
• Process incoming checks and update cash blotter
• Network direct business accounts
• Maintain books and records retention on firm and LPL level
• Research and escalate complex operational issues with NWCM leadership and LPL
• 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 1 year experience in a back office operations role or similar 

• Demonstrate strong attention to detail

• Effective oral and written communication skills

• Demonstrate initiative and resourcefulness as a self-starter

• Proven skillset to work well in a team environment

• Ability to work the hours of M-F 8am-4:30pm
• Ability to work onsite in our Herndon, VA headquarters

Preferred 

• Familiarity with Hybrid RIA structure
• Experience in the investment industry 

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.