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Investment Ops Technical Skills

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What do independent practice owners tell you are the most important non technical characteristics when they are hiring for investment ops or client service roles? 
Eddy Ricci, Jr., CFP ®, CEPA ®: Many practice owners care most about hiring a candidate that can “figure it out” and will be “proactive.” What they are looking for is an employee who will seek answers through various resources, FIRST and the as a last resort come to a manager or practice owner looking for the answer. This is likely true in any industry but is particularly important in smaller, independent planning practices. If you are a candidate interviewing for wealth management ops roles, be sure to highlight how you are resourceful and figured things out independent in addition to your technical skills, licenses, software and custodian familiarity.
Michael P. Connaughton, CFP®, CLU®, ChFC®: Almost always we hear resourcefulness. Operations and client service professionals are often pulled in various directions over the course of the day. Whether it’s tracking down account paperwork and signatures, money movement, trading, interfacing with third parties, or general client inquiries, practice owners appreciate team members that can navigate these issues independently. Other desired key intangibles are responsiveness and communication effectiveness.  A practice owner may not expect you to have an immediate solution to a client inquiry or service need, but they do expect that you will respond quickly and convey that you are working toward a resolution.

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