SFA Broker-Dealer Operations Specialist

Join Our Team ----------------- SFA Partners is a financial services organization that goes beyond traditional broker\-dealer, Registered Investment Advisor, and insurance agency to provide a strategic, open, and professional, business development platform for independent advisors and their clients. Our platform enables our advisors to offer clients a comprehensive planning approach to their entire financial lives – helping clients protect, preserve, accumulate, and transfer wealth. Position Summary The Operations Specialist is a primary contact of our operations team, serving as the primary contact for client support inquiries. This role involves managing a wide range of client requests—both written and verbal—and is responsible for problem resolution and service support for advisors and administrative staff processing client transactions through SFA Partners. The specialist will exercise decision\-making authority as delegated by the Operations Manager and Director of Operations. Essential Functions Review and process client account information, including account openings. Provide general account maintenance and support. Review, approve, process, and follow up on incoming funds, disbursement, and asset movement requests. Review and process private purchase transactions within brokerage accounts. Manage account processing and associated fee billing on the managed account platform. Utilize imaging systems and workflows to maintain accurate records. Ensure timely completion of tasks and adherence to high service level standards. Generate reports to track outstanding and recurring issues, facilitating resolution and prevention. Serve as the subject matter expert for all operational processes and procedures, providing support to the team. Cross\-train with team members and mentor new employees to enhance team skills and knowledge. Carry out additional duties and projects as assigned by management and leadership. Collaborate with other departments and external vendors to cultivate strong working relationships. Qualifications Minimum of three years of experience in the banking or financial services industry. Proficient in Microsoft Office Suite and broker\-dealer operations software. Excellent written and verbal communication skills, particularly in customer service. Demonstrated sound judgment and discretion, skilled in conflict resolution. Exceptional organizational abilities, time management, multitasking, and priority adjustment skills. Strong interpersonal skills, thriving in a fast\-paced, customer\-focused environment. Proactive, detail\-oriented, and committed to continuous improvement. Team player with a collaborative mindset and positive attitude. Preferred: Experience in securities and/or broker\-dealer environments. Experience with Pershing Netx360\. * Series 7 license. Position Summary The Advisor Compensation Specialist is responsible for supporting the Director of Advisor Compensation as well as advisors and their support staff relating to Broker Dealer and RIA compensation and the compensation processing systems. Essential Functions 1\. Maintain accurate compensation data utilizing compensation systems and custodian platforms including, but not limited to: a. Broadridge Advisor Compensation System b. Advisor Portal c. Excel d. Black Diamond e. Schwab f. Fidelity 2\. Assist with commission and fee processing a. Process/reconcile commission/fee statements b. prepare reconciliation of daily/weekly/monthly compensation cycle data for processing c. manage payout structures in compensation system d. create queries in compensation system, both routine and ad hoc 3\. Analyze compensation data and identify discrepancies or errors 4\. Review and verify compensation statements and invoices from sponsors 5\. Review compensation system for unpaid transactions and missing information to complete payment 6\. Communicate with internal and external stakeholders regarding compensation issues a. Monitor incoming compensation department emails for the broker\-dealer and RIA b. Assist advisors with commission inquiries, payouts, and reporting c. Work with advisors to assist in their understanding of the use of the advisor portal. 7\. Manage product/sponsor data in compensation system in coordination with Due Diligence and Product departments 8\. Coordinate, prepare and analyze documents for audits, advisors and home office requests 9\. Manage Advisor Fee Schedule a. Review weekly fee adjustments b. Review application of fees for new/existing advisors for accuracy c. Update fees annually 10\. Other duties and responsibilities as needed Qualifications Required: 1\. Bachelor’s degree of business management, finance, accounting or related field 2\. Proficiency with Microsoft Office products, particularly intermediate Excel skills (pivot tables, v\-lookup, if\-statements, etc.) 3\. Strong analytical, communication and computer skills 4\. Effective problem analysis and resolution skills 5\. Highly organized 6\. Ability to work collaboratively with Manager in remote location. 7\. Ability to work at Company office three days/week Preferred: 1\. Prior experience in securities industry, preferably with a broker/dealer 2\. Knowledge of securities laws and regulations