Operations Assistant

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Job Title:             Operations Assistant

Reports To:         Senior Operations Associate

Job Purpose:      As an Operations Assistant of Provenance Wealth Advisors, you will use education and skills gained through training and experience to provide proactive support to the Operations team and assist with efficient, quality operational efficiency.  You will serve not only as a key member of the Provenance Wealth Advisors’ team but also a key member of the operations of Provenance to ensure the operations within their practice are handled at the highest level while also providing the highest level of customer service.  At its core, your key job responsibility is to provide general operational support to the advisor, staff, and firm to allow the advisor to maximize client-facing time.

Company Culture:           Provenance Wealth Advisors (PWA) is a company whose culture is defined by the character of its team members.  As a result, each team member must possess an unyielding desire to exceed client expectations.  We serve our clients the way we want to be served.  Being entrusted with our client’s livelihood and their life’s work means that every workday activity and interaction requires the highest degree of ethics and professionalism.  Your daily activities are to be completed correctly and efficiently the first time.  Our continued success depends on a diverse array of professionals working together toward common goals and each of us promoting a shared culture of excellence and mutual accountability. 

PWA is also a unique work environment that values teamwork and strategic cooperation among its planners and staff.  Each team member brings a unique skill set and experience to the organization, and we value and respect everyone’s unique talents.  PWA expects all team members to respect each other and strive to make collaboration and cooperation among firm members a cornerstone of our culture and success.

Accountability is also a key element in our success.  PWA is committed to a “return and report” culture so that we are accountable for doing what we agreed to do to the very best of our ability and within the agreed-upon timeframe.  Target dates are to be communicated with each assigned task.  If they are not, it is the assignee's responsibility to obtain a target date for completion.  Persons assigned such tasks will be accountable for reporting back on the tasks' status.

Job Duties and Responsibilities

• Communicate, coordinate, and support Operations.
• Interact daily on the telephone with Advisors and their staff, handling basic inquiries and addressing service requests.
• Assist in processing client paperwork to ensure it is completed as efficiently as possible.
• Open mail daily and review for checks, customer complaints, or other items of importance.
• Coordinate new account paperwork for Branch Manager Signature and cursory review for good order.
• Provide formal review and prep documents for submission to Raymond James.
• Oversee and address all action needed, as well as suspended or rejected documents.
• Submit corrections or outstanding documents to Raymond James.
• Submit ACH requests.
• Check Deposits
• Add all items to tracking and service reports.
• Review all submitted transition paperwork for completeness to identify any outstanding documents due or rejections before shredding.
• Provide service and account maintenance functions through RJ system (ex. Account balances, transfer status, titling inquiries, change of address, etc.).
• Perform Relationship Manager functions through Raymond James system (i.e. mail packets, grouping, linking).
• Respond to incoming emails and telephone calls in a professional manner to ensure that the Advisor’s request is met in a timely fashion.
• Assist in establishing, maintaining and updating electronic, investment and client files.
• Respond proactively and timely to Advisor requests for assistance and problem resolution
• Perform other duties and responsibilities as assigned.

Knowledge / Requirements

• Bachelor’s Degree.
• 0 - 2 years experience in a financial services environment, preferably Operations related.
• Ability and desire to grow within the industry.
• MS Excel, Word, Outlook, and PowerPoint proficiency to produce presentations, correspondence, electronic communication, and maintain spreadsheets.

Job Skills

• Effective problem-solving skills to resolve Advisor questions.
• Organize, manage, and track multiple tasks in a fast-paced environment
• Professional, service-oriented demeanor.
• Detail-oriented to ensure the accuracy of reports, correspondence, and tracking reports
• Serve as a role model and lead others in providing a high level of customer service
• Demonstrate excellent work ethic.
• Communicate effectively, both orally and in writing, with all levels of the organization
• Ability to work collaboratively as well as independently within a team environment.

Other Duties

Please note that this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Supplementary Information

This description is based on management's assessment of the requirements and functions of the job on the date this description was prepared.   It is a general guideline and does not purport to be an exhaustive list of all the job elements.   Management reserves the right, temporarily or indefinitely, to meet production, scheduling, or staffing needs.

If you like wild growth and working with happy, enthusiastic over-achievers, you'll enjoy your career with us!