As a Wealth Operations Associate, you will be integral to delivering exceptional service and support to clients. Working closely with our investment advisors, your responsibilities will include:
- Supporting various compliance tasks, including maintaining and updating policies and procedure guides, renewing licenses, and working with our external compliance consultant
- Processing account openings
- Meeting with clients for signatures
- Working with custodians on rollover requests and paperwork
- Processing equity and mutual fund trades, block trades, and trade reconciliations
- Processing advisory fees and conducting audits
- Updating activity logs and reports
- Maintaining client accounts (name changes, beneficiary updates, etc.)
- Monitoring Required Minimum Distributions (RMDs)
Knowledge, Skills & Abilities
- Associate's degree or equivalent work experience required
- Series 7 license preferred
- Detail-oriented with a strong sense of urgency
- Prior experience in a trust department, investment firm, brokerage firm, community bank, financial services company, or similar professional environment involving customer-facing administrative work preferred
- Advanced proficiency in Microsoft Outlook, Word, and Excel; CRM experience preferred
- Skilled in handling customer inquiries and requests
- Strong verbal and written communication skills
Pay: $70,000.00 - $85,000.00 per year
Benefits:
- 401(k) matching
- Dental insurance
- Flexible spending account
- Health insurance
Work Location: In person
