Operations Consultant - Retirement Plan Services

Responsibilities Act as a strategic business partner to internal stakeholders, managing strong relationships across Operations and Retirement Plan Services. Serve as a liaison between the firm and regulatory agencies, acting as an industry expert on applicable regulations. Develop a deep understanding of new regulations and assess their operational impact using internal and external resources. Identify, evaluate, and recommend expertise-driven solutions that meet regulatory needs and business requirements. Consult with users to identify, analyze, refine, and document detailed business requirements. Prepare and deliver clear written and oral communications to stakeholders regarding project updates, regulatory impacts, and operational changes. Execute and support communication plans using established internal communication processes. Manage relationships with smaller internal clients and assist senior colleagues with larger or complex stakeholders. Represent Operations in cross-functional working groups, including relevant regulatory and industry committees (e.g., SIFMA). Review regulatory rules impacting the department and create or update functional documentation and procedures as needed. Identify operational trends, analyze impacts, and provide written reports and recommendations to management. Participate in procedure reviews, identify gaps or risks, and propose enhancements to improve compliance and efficiency. Create process maps and workflow documentation to support operational understanding and associate training. Participate in User Acceptance Testing (UAT), assess outcomes, and make recommendations at decision points. Write and edit materials for various audiences, tailoring tone, and content appropriately. Drive execution of project plans and ensure alignment with goals and timelines. Support and lead special projects as assigned.

Knowledge of:

Functional, operational, and technical requirements of systems used within the Retirement Plan Services environment. Principles of banking, finance, and securities industry operations. Investment concepts, industry practices, and regulatory frameworks impacting retirement plan services and securities operations.

Skill in:

Communicating clearly and effectively through advanced verbal and written communication. Representing stakeholders on project teams and problem-solving across large, complex cross-functional systems. Applying strong business judgment, analytical thinking, and organizational skills to drive outcomes. Preparing high-quality reports, summaries, presentations, and other written communications. Translating broad concepts into actionable steps and measurable success criteria. Delivering client-focused service by understanding and aligning with key client needs. Navigating customer conversations through structured communication approaches (open, learn, reply, close). Using required software applications, systems, and tools to support operational requirements. Licenses/Certifications SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied. Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.