BBVA Global Wealth Advisors · 11 hours ago
Client Operations Associate
Miami, FL
Full-time
Hybrid
Senior Level
5+ years expBBVA Global Wealth Advisors is seeking a Client Operations Associate to support the Sales team and Client Operations team in processing client requests. The role involves maintaining operational procedures, providing administrative support, and collaborating with various stakeholders to ensure efficient operations and compliance.
AdviceFinancial ServicesWealth Management
Hiring Manager
Karla Montes
Responsibilities
Document and maintain all operational procedures and desktop processes. Design and maintain operations workflows
Provide administrative support with respect to recordkeeping, maintenance and distribution of client documentation
Support the business with the processing of all client requests, including but not limited to transfers, distributions, trades and account maintenance forms
Act as main point of contact for operational inquiries and requests from the RIA’s custodians and third-party broker dealer - Working directly with them to process work in a timely and accurate manner
Collaborate with Client Relationship Specialist and advisors for all operational matters
Maintain the back-office systems provided by custodians and executing broker dealer
Generating, reviewing, and reconciling client fees
Improve operational procedures and ensure efficiency with resolution of issues identified in account servicing and other client related processes
Continuous improvement of existing processes, systems, and process
Demonstrate a strong awareness of the RIA’s compliance program and effectively utilize its tools
Support the independent monitoring and quality assurance of key operational processes
Prepare and submit compliance reports as required
Ensure that operation controls are in place for all key processes and that any control weaknesses are appropriately addressed and escalated
Qualification
Required
Bachelor's degree in Business, Finance, Economics, or other related area or equivalent work-related experience
5 years of previous financial industry experience – SEC RIA or Broker Dealer preferred
Manage the end-to-end lifecycle of securities transactions
Strong understanding of financial markets and technical expertise in complex securities products (Equities, Fixed income, Structured products, Mutual Funds, Options, Alternative placements)
Understanding of the relevant rules and regulations applicable to SEC registered Investment Advisors and Broker Dealers
Highly motivated self-starter with very good problem-solving skills and attention to detail
Great interpersonal and stakeholder management skills - Ability to communicate and coordinate effectively with a wide range of people across different functions and levels of seniority
Delivery focused with ability to prioritize multiple assignments and meet deadlines
Problem-solving skills and focus on collaboration and teamwork
Excel, pivot tables, formulas and macros
Preferred
5 years of previous financial industry experience – SEC RIA or Broker Dealer preferred
Previous experience with the “NetX 360” platform preferred
Middle office/ trading experience in Securities desirable
Bilingual English-Spanish
Preferred Series 65
Company
BBVA Global Wealth Advisors
BBVA Global Wealth Advisors offers wealth management and investment advisory services.
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase