Able to work in Both Thornton and DTC locations
Job Summary
The Assistant & New Business Processor plays a dual role in supporting both the client-facing and operational sides of the business. This hybrid position provides critical administrative support to financial advisors while also managing the processing of new business and financial transactions. The role ensures advisors are fully prepared for client meetings, maintains accurate CRM records, facilitates smooth client onboarding, and drives timely execution of annuity and financial processing. Success in this role requires exceptional organization, attention to detail, client service skills, and the ability to manage multiple priorities in a fast-paced environment.
Key Responsibilities Advisor & Appointment Support
· Prepare materials for advisor appointments, including client files, applications, reports, and supporting documents.
· Schedule, confirm, and reschedule client meetings, ensuring calendars are accurate and up to date.
· Greet clients professionally and provide a welcoming experience at in-person visits.
· Upload, organize, and maintain appointment documentation in FileMaker CRM and OneDrive.
· Track client follow-ups and ensure no opportunities are overlooked.
New Business & Transaction Processing
· Submit and process new annuity business applications with accuracy and compliance.
· Coordinate with insurance carriers, custodians, and advisors to resolve outstanding requirements.
· Handle financial transactions including account openings, maintenance, wire transfers, fund movement, and reconciliation.
· Track the status of pending business and provide proactive updates to advisors and clients.
· Maintain compliance with firm policies and regulatory requirements in all transactions.
CRM & Records Management
· Maintain accurate and detailed records in FileMaker CRM, including notes, follow-up reminders, and case tracking.
· Apply the 3-day follow-up standard to all pending items unless otherwise documented.
· Ensure documentation is clear, actionable, and accessible to all team members.
Collaboration & Communication
· Act as a liaison between advisors, operations teams, and carriers offices to keep cases moving forward.
· Proactively communicate case updates, delays, or missing requirements to stakeholders.
· Partner with advisors on estate planning coordination, event preparation, and seminar logistics.
· Support the collection and routing of tax-related client documents during tax season.
Skills & Qualifications
· 2+ years of experience in financial services operations, business processing, or client service.
· Strong knowledge of CRM systems (FileMaker preferred) and Microsoft Office Suite.
· Familiarity with annuity products, account openings, wire transfers, and reconciliation workflows.
· Exceptional attention to detail and ability to manage multiple priorities.
· Strong verbal and written communication skills, with a professional and client-focused demeanor.
· Ability to maintain confidentiality and handle sensitive information with discretion.
· Notary Public certification (preferred, if applicable by state).
Preferred Qualifications
· Experience working with insurance carriers, broker-dealers, or RIAs.
· Knowledge of estate planning and client onboarding workflows.
· Prior experience supporting financial advisors in a client-facing environment.
Key Success Measures
· Advisors consistently walk into meetings fully prepared with accurate materials.
· CRM records are maintained accurately, with actionable notes and timely follow-ups.
· New business and financial transactions are processed efficiently with minimal errors.
· Advisors and clients receive proactive communication, resulting in a smooth and professional experience.
· The hybrid role is recognized as a reliable point of contact bridging client service, operations, and processing.
Job Type: Full-time
Pay: $50,000.00 - $80,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Life insurance
- Paid time off
- Vision insurance
Work Location: In person
