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Vanguard · 4 days ago

Operations Specialist

Scottsdale, AZ

Full-time

Hybrid

Mid Level

3+ years exp

Vanguard is a company focused on the long-term financial wellbeing of its clients. They are seeking an Operations Specialist to interpret and process client requests, enhance the client experience, and participate in lean management culture.

FinanceFinancial Services

No H1B

Responsibilities

Interprets, researches and processes more complex client requests on our mutual fund and brokerage platforms. Consistently follows policies and procedures for completing work while independently utilizing systems and resources effectively. Exhibits a sense of urgency and accountability for the client experience. Attend trainings and proactively seek opportunities to develop (lean management knowledge)

Owns and resolves client or stakeholder inquiries while demonstrating logical, systematic approach to problem solving. Collaborates with peers and business partners to continually enhance the client experience. Leverages online resources and past experience to independently meet challenges and provide viable alternative solutions as needed. Identifies trends and escalates critical issues for timely communication and improved self-provisioning of business partners. Leverages appropriate delegates, crew resources (i.e. Crew Champion) to seek accommodations

Demonstrates full proficiency in all brokerage and mutual fund functions designated under respective training path. Maintains balance between quality and productivity to meet department standards. Serves as a Subject Matter Expert to the business and assists with coaching and supporting peers in completing client requests. Adheres to standard work/workflows, vocalizes opportunities to improve upon it. Actively suggests enhancements to processes

Communicates both verbally and in written format with clients to clarify incomplete or invalid paperwork. Mitigates risk by accurately capturing client instructions, conveying details and providing clarification for each event. Incorporates the six Client Relationship Management (CRM) skills into internal and external client interactions. Communicates both verbally (incoming and outgoing) and in written format with clients to clarify incomplete or invalid paperwork. Complies with all Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) and Vanguard internal policies regarding client contact

Actively participates in lean management culture (i.e. huddles, problem solving, staff meeting, and trainings). Adheres to standard work/workflows, vocalizes opportunities to improve upon it

Prioritizes work and provides flexibility to support business needs. General awareness of the current business environment. Demonstrates an interest in the financial markets and brokerage environment. Understands Vanguard products including, but not limited to, fund minimums, additional purchase limits, and closed funds

Stays current following procedural updates or technology enhancements. Assists with reviewing procedures and recommends revisions. Participates in conversations around individual and team targets during huddle board conversations, and consistently updates goals in a timely fashion

Participates in special projects and performs other duties as assigned

Qualification

Client relationship managementProblem resolutionTime managementMicrosoft OfficeFinancial markets knowledgeTeam collaborationAdaptabilityPositive attitude