Location: Charlotte, NC
Job Type: Full-time
Company: Linden Thomas & Company

About Us:
Linden Thomas & Company is a leading independent wealth management firm located in Charlotte, NC. With over 36 years of experience serving affluent investors, we are dedicated to providing top-tier financial solutions and personalized service. We are seeking a detail-oriented and proactive Operations Specialist to support our portfolio management and client services teams by ensuring smooth operations and accurate client account management.

Position Overview:

The Operations Specialist will assist in managing client accounts, executing trade orders, maintaining accurate records, and ensuring compliance with regulatory requirements. This role is essential to maintaining high-quality service for our clients and requires close collaboration with the portfolio management team and other departments.

Key Responsibilities:

• Assist in opening, closing, and maintaining client accounts, ensuring accurate and up-to-date client information and documentation.

• Execute trade orders for clients, including stocks, bonds, mutual funds, and other investment vehicles.

• Reconcile trade confirmations and resolve any discrepancies efficiently.

• Collaborate with the portfolio management team to ensure client portfolios are rebalanced according to their investment goals and risk tolerance.

• Facilitate and manage client distributions, including withdrawals, income disbursements, and required minimum distributions (RMDs) as per client instructions.

• Ensure all distributions are processed accurately and in compliance with regulatory requirements.

• Generate client account statements, performance reports, and other required documentation.

• Provide clients with account-related information and respond to inquiries promptly.

• Assist in ensuring the firm's compliance with relevant regulatory requirements.

• Maintain accurate records and documentation for audits and compliance reporting.

• Monitor and manage client cash flows, including deposits, withdrawals, and transfers.

• Troubleshoot and resolve technical issues that may arise during operations.

• Assist with general office administrative tasks, including filing, correspondence, and other duties as assigned.

Qualifications:

• Bachelor’s degree in Finance, Business, or a related field (preferred).

• Previous experience in banking, wealth management, financial services, or mortgage processing.

• Strong attention to detail and a high level of accuracy in work.

• Knowledge of investment products, financial markets, and trading processes.

• Proficiency with Microsoft Office Suite and financial software.

• Understanding of regulatory and compliance requirements in the financial industry.

• Excellent organizational, communication, and problem-solving skills.

What We Offer:

• Competitive salary and comprehensive benefits package.

• Opportunity for career growth and professional development.

• Collaborative and dynamic work environment with a focus on client success.

Linden Thomas & Company is an AA/EOE employer M/F/D/V.