Operations Specialist Position Available In Lancaster, South Carolina

Operations Specialist Financial Resources Group Investment Services LLC 360 Kingsley Park Dr Ste 100, Fort Mill, SC 29715 The Operations Specialist plays a critical role in executing operational processes to drive practice efficiency and add value for Financial Advisors and Financial Institutions of FRGIS. This team member will engage closely with our clients to provide administrative support and guidance with practice management activities related to advisor transitions, terminations, and data and technology requests. The Operations Specialist serves as a key liaison between

FRGIS, LPL

Financial, and our Financial Institutions and Advisors to ensure timely and accurate handling of standard off-boarding, status changes, registration-related tasks, and Technology Access-related tasks. This team member is responsible for maintaining and updating internal systems, processing client requests, and ensuring timely client communications via phone or email. This role will report to the Senior Manager of Technology and Data and will work with a variety of team members within FRGIS and LPL.

Duties and Responsibilities:

Process the end-to-end handling of standard termination and offboarding processes Work with FRG Business Consultants, FI Executives, Advisors, and Support staff to handle requests, coordinate registration updates, and manage and submit subsequent movement of accounts, as needed Work with FRG HR to coordinate termination of employment, as applicable Support Registration reporting tasks to drive accuracy and compliance with LPL Work with advisors and financial institutions to facilitate branch changes, as needed Submit and manage requests related to non-OSJ branch creation and branch registration changes Facilitate the execution of standard status change requests Execute and monitor book movement and segmentation workflows to ensure alignment with transition timelines and objectives Maintain Internal Tracking systems, including QuickBase and Smartsheet, to ensure data accuracy and effective tracking for process management Partner with Onboarding and Integration team members to support operational and setup initiatives Contribute to Technology and Reporting Initiatives by partnering with the Technology & Reporting Team to support operational efficiency efforts and reporting enhancements At FRG, we seek to hire strong collaborators who can assist our advisor-facing teams in delivering a world-class client experience. We are looking for candidates who thrive in a fast-paced environment, are client-focused, detail-oriented, and are able to execute in a way that encourages creativity and continuous improvement. Natural curiosity and a penchant for learning are a must.

Qualifications :

Bachelor’s degree in Business Administration, or related field, preferred Minimum of 5 years of customer service or project management experience in the wealth management/ financial services industry or environment Proven knowledge and understanding of registration types and processes, roles, structures, compliance, broker-dealer operations, FINRA, and regulatory environments Strong communication and interpersonal skills, both written and verbal; able to effectively present to and communicate with all team members Performs at a high standard where customer focus, quality, and timeliness are top priorities Exhibits a substantial ability to gather and assess data, and apply appropriate coordination and response Dependable, hardworking, and flexible; maintains the highest level of professionalism and confidentiality Proven ability to utilize problem-solving and conflict resolution skills; exhibits confidence and an energetic and positive presence Proven ability to prioritize workload and perform multiple tasks and manage multiple projects simultaneously, demonstrating a commitment to accuracy and quality in work product Self-directed and able to work within a team to expedite the completion of critical projects with other functional groups Proficient with technology tools and systems, including Microsoft Office (Word, Excel, PowerPoint, Outlook), QuickBase, Smartsheet, ClientWorks, and DocuSign