What are the responsibilities and job description for the Investment Operations Specialist position at Ascend Wealth Management?
Overview:
The Investment Operations Specialist will assist with various stages and elements of the financial planning process from initial recommendations through annual client reviews. Responsibilities include the evaluation of prospective clients’ portfolios, financial plan design and implementation, onboarding of new client accounts, and directing the account transfer process. Additional responsibilities include monitoring and maintaining accounts on an ongoing basis, processing client cashiering requests, trading, and executing retirement distribution strategies. The Investment Operations Specialist will frequently interact with clients and will work closely with all members of the financial planning team.
Key Responsibilities:
- Portfolio Analysis, Design and Implementation
- Initiate and Monitor Account Transfer Requests
- Place Initial and Subsequent Trades
- Execute and Monitor Retirement Distribution Strategies
- Process Check Requests, ACH Requests, and Wire Transfer Requests
- Provide Ongoing Investment Account Maintenance
- Assist Clients with Tax and Account Inquiries
- Regularly Provide Status Updates to Clients and Team Members
Qualifications:
- Bachelor’s Degree in relevant field of study: Financial Planning, Finance, Accounting, Economics
- Acute Attention to Detail
- Strong Math and Critical Thinking Skills
- Ability to Work Autonomously and as a Team Player
- Excellent Written and Oral Communication Skills
- Series 6 and 63 or Series 7 and 66 Registrations preferred</li>
- Registrations can be obtained within three months of employment for the right candidate