The RIA Operations Analyst supports Transamerica Financial Advisors, Inc. (TFA) Registered Investment Advisor (RIA) in all facets of business, including but not limited to operations, marketing, and field relations.

Responsibilities

  • Work with Compliance, Operations, Technology and external vendors to resolve issues related to RIA business processes.
  • Assist the RIA with operational issues.
  • Answer incoming inquiries and places outgoing calls to Investment Advisor Representatives, outside vendors, and other home office personnel.
  • Coordinate billing and resolves escalated billing issues.
  • Handle ad hoc projects related to the RIA.
  • Create and coordinate internal and external marketing initiatives including printed marketing material, presentations, videos, etc.
  • Coordinate and conduct external and internal training via webinars.
  • Train new/existing associates on advisory and brokerage related issues.
  • Assist team in maintaining the department Operations manual.
  • Keep informed of FINRA/SEC regulations and industry practices regarding document requirements and account registrations.

Qualifications

  • Associate’s degree in a business field or equivalent experience
  • Three years of RIA and/or broker/dealer experience
  • FINRA Series 65 license or Series 7 and 66 licenses, or ability to obtain within 6 months.
  • Excellent written/oral communication, interpersonal and customer service skills
  • Excellent organizational and prioritization skills to manage workload/process large volumes
  • Accurate data entry skills and strong attention to detail
  • The ability to work under pressure of deadlines
  • Proficiency in MS Office (Outlook, Excel, Word, PowerPoint)

Preferred Qualifications

  • Understanding of broker/dealer back office and imaging systems
  • Familiarity with insurance, mutual funds, equity and related products

Working Conditions

  • Office or hybrid office/remote environment
  • Overtime required during peak periods
  • Occasional travel

Compensation

The hourly rate for this position generally ranges between $20.50 - $25.00 per hour. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus of 5% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion. 

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This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.