The Senior FPS Associate interacts with Financial Representative teams and FPS team members to complete investment paperwork and analysis tasks for their clients.
Roles and Responsibilities
- Complete, submit, and track new account investment paperwork
- Partner with leadership in leading elite financial planning operations team
- Maintain client contact, track changes, and update CRM details accordingly
- Onboard clients for established advisor teams, maintain detailed notes and records in CRM and ensure the completion of tasks
- Monitor daily team volume to reassign resources as applicable
- Assist in long term planning to help advisors expand/grow their practice
- Execute securities trades and money movement requests
- Assist with task management for the team
- Create Investment Policy Statements for investment advisory accounts using Envestnet
- Advanced knowledge of annuity applications and servicing of accounts
Education Requirements and Qualifications
- High school diploma or equivalent required
- Minimum of 2-year Associate’s degree and/or equivalent work experience
- 3-5 years of industry experience preferred
- Past brokerage/investment account opening experience
- Past customer service experience
- Active SIE, Series 7 and 63 registrations
- Willing to obtain Life, Accident & Health license within first year of employment
Ideal candidate would have:
- Bachelor’s Degree in Business, Finance and/or equivalent work experience
Competencies
- Strong organizational and time management skills with the ability to set priorities and meet deadlines
- Ability to embrace and adapt to changes in a dynamic environment
- Strong attention to detail, with accuracy and reliability
- Ability to thrive in a fast-paced environment
- Strong customer service and relationship building skills
- Ability to apply critical thinking skills for problem solving and analysis
- Excellent written and verbal communication skills
- Ability to work well within a team and individually
- Committed to professional development (e.g. licensing, registration, designations) and on-going training
