Operations Associate

Our client is a multi generational wealth management practice. They provide integrated financial planning for over 500 high net worth clients nationwide.

They are currently seeking an Operations Associate to support the firm.

Responsibilities

• Responsible for input of brokerage and advisory trading of client accounts
• Prepare and deliver account opening documents, and insurance applications to clients
• Service and maintain client accounts (Ownership/Beneficiary changes, rebalancing, etc.)
• Take client requests for deposits and distributions from accounts and execute them
• Proactively communicate with Advisors regarding work in progress
• Managing the financial planning process including, data gathering, setting up the plan in the financial planning software, running various scenarios, and preparing the plan for presentation to the client
• Respond to requests for service and troubleshoot service issues
• Regularly prepare supporting materials and sample reports for clients
• Answer inbound phone and email inquiries
• Take clients through the insurance underwriting process and complete ongoing service for risk management
• We expect the candidate to sit for and pass their Colorado Life & Health, SIE, Series 7, and Series 63 within their first 8 months of employment
• Customize financial plans for each client based on his or her professional/work circumstances, life stage, and evolving financial needs
• Support clients' progress toward their financial goals through strategic product, plan, and investment recommendations
• Gather and assess each client's financial information to accurately determine factors including financial status, cash flow, monetary expectations, financial goals, retirement plans, and additional factors related to wealth management
• Serve as a collaborative team player willing to further development through continued training opportunities

Qualifications

• Must be an above-average communicator with exceptional interpersonal skills
• Must have an understanding of investments and general financial knowledge
• Must have strong organizational and prioritization skills
• Excellent follow-up and follow-through capabilities
• Professional attitude, flexibility, demeanor, and appearance
• Previous work experience in the financial industry is preferred
• Valid FINRA Series 7 & 63/66 preferred but not required
• Exemplary math skills, communication skills, and relationship skills to support strong customer service for current and new clients
• Working knowledge of financial products, the financial industry, personal financial advisor or responsibilities, or financial planner roles is essential
• A Bachelor's degree in finance, business administration, or alternate related analytical field is required

Compensation

• $50,000 - $60,000