What are the responsibilities and job description for the Financial Services Operations Specialist position at Whitaker Wealth Management Services, LLC?
About us
Whitaker Wealth Management Services, LLC is a growing financial services business in Morton, IL. We have a beautiful, new office and pleasant working experience. We are dedicated to helping individuals and families achieve their financial goals as they transition into retirement. With a focus on personalized strategies and comprehensive guidance, we offer expert advice, tailored solutions, and a range of retirement planning services.
Job Description
We are seeking a highly organized and detail-oriented individual to join our team as an Investment Advisor's Paperwork Assistant. As an integral part of our financial advisory firm, you will provide essential administrative support to our investment advisors, ensuring accurate and efficient handling of paperwork and documentation related to investment transactions. Your role will contribute to the overall success of our clients' investment strategies by maintaining precise records and facilitating smooth operational processes.
Responsibilities:
1. Paperwork Management: Assist investment advisors in preparing, reviewing, and organizing investment-related paperwork, including client account opening forms, transfer requests, investment agreements, and compliance documents.
2. Documentation Maintenance: Maintain accurate and up-to-date physical and electronic files, ensuring that all documents are properly labeled, filed, and stored in compliance with regulatory requirements and internal policies.
3. Data Entry and Analysis: Accurately input data into relevant systems and databases, verifying its completeness and correctness. Assist in analyzing data to generate reports and summaries as needed.
4. Client Communication: Interact with clients to collect necessary documentation and resolve any paperwork-related queries or issues promptly and professionally.
5. Compliance Support: Collaborate with compliance officers to ensure adherence to regulatory guidelines, assisting in the preparation of compliance reports, internal audits, and other compliance-related tasks.
6. Operational Efficiency: Identify opportunities for process improvement and streamline paperwork-related procedures to enhance overall operational efficiency.
7. Recordkeeping: Maintain a log of incoming and outgoing paperwork, monitor deadlines, and proactively follow up on pending items to ensure timely completion.
8. Cross-Functional Collaboration: Collaborate with other team members, including investment advisors, portfolio managers, and administrative staff, to provide seamless support and contribute to overall team success.
9. Industry Knowledge: Stay updated on industry regulations, compliance requirements, and best practices related to investment advisory paperwork management.
Requirements:
1. Experience: Prior experience in a similar administrative role within the financial services industry, preferably in an investment advisory firm or a wealth management company, is highly desirable.
2. Organizational Skills: Exceptional organizational and time management skills, with the ability to handle multiple tasks simultaneously and meet deadlines in a fast-paced environment.
3. Attention to Detail: Strong attention to detail and accuracy in handling paperwork and data entry, ensuring compliance with regulatory standards.
4. Communication Skills: Excellent verbal and written communication skills to effectively interact with clients, team members, and regulatory authorities.
5. Technical Proficiency: Proficiency in using Microsoft Office Suite (Word, Excel, PowerPoint) and familiarity with financial software and databases.
6. Ethical Conduct: Demonstrated commitment to ethical conduct, integrity, and maintaining client confidentiality.
7. Adaptability: Ability to adapt to changing priorities and work effectively under pressure.
8. Not required, but preferred is basic understanding of investment products, financial markets, and regulatory requirements in the investment advisory industry.
Rate of pay depends on experience level.
This job description outlines the primary duties and qualifications typically required for the role of an Investment Advisor's Paperwork Assistant. However, specific responsibilities and requirements may vary depending on the company's size, structure, and individual job requirements.
Job Type: Full-time
Pay: $36,000.00 - $46,000.00 per year
Benefits:
- Dental insurance
- Health insurance
- Paid time off
- Vision insurance
Schedule:
- Day shift
- Monday to Friday
Experience:
- financial services, data entry, paperwork, etc: 1 year (Preferred)
Work Location: In person
Salary : $36,000 - $46,000