Financial Operations and Client Relations Coordinator

About the role

The Financial Operations and Client Relations Coordinator supports financial advisors by managing securities-related processes, maintaining client records, assisting with client service, and ensuring compliance with financial services requirements.

Responsibilities

• Maintains client database records and Laserfiche files, ensuring information is accurate, current, and complete.
• Prepares and maintains accurate client review materials for new and existing accounts.
• Processes securities and fixed-related business and coordinates required documentation with appropriate companies and business partners.
• Logs, tracks, and reports transactions in accordance with Broker Dealer (Cambridge Investment Research) requirements and internal procedures.
• Provides professional, responsive client service by answering questions, coordinating follow-up, and assisting with client requests.
• Reviews client files for completeness and assists in maintaining compliance with applicable policies, procedures, and regulatory requirements.
• Supports client communication and public relations efforts, including outreach, scheduling, event planning, and relationship-building activities.
• Performs other duties as assigned.

Requirements

• Demonstrates accuracy, thoroughness, and attention to detail.
• Maintains strong organizational skills and the ability to prioritize multiple tasks.
• Understands basic accounting, financial services, and business processing concepts (faxing, uploading, scanning).
• Uses good judgment and discretion when handling confidential client information.
• Demonstrates proficiency with computers, electronic equipment, department-specific software, spreadsheets, and document management systems.
• Communicates clearly and professionally, both verbally and in writing; confidence and professionalism on the phone are required.

Qualifications

Associate Degree: 2-4 years of experience and/or training; or equivalent combination of education and experience. Computer proficiency with Microsoft Office products.

Benefits

• Stakeholder Bonus
• Health Insurance
• Dental Insurance
• Retirement Plan (401k) – 3% Safe Harbor Contribution + Discretionary Contribution
• 10 Observed Holidays
• PTO
• Group Term Life provided
• Short Term Disability - 100% provided by company
• Long Term Disability
• Maternity/Paternity Leave – 100% of pay
• Community Involvement Programs (Pay-It-Ohnward – Company Giving Program, Grilling for Charity – Community Donations)
• Company Events (Thank God Its Monday - TGIM)