Financial Operations Associate

Responsibilities

• Develop a cohesive and efficient working relationship with assigned financial advisor(s).
• Develop and support professional relationships with clients via phone, email, and in-person.
• Prepare forms and other materials for client meetings as needed or directed.
• Process required paperwork for client account set-up and investment implementation.
• Complete tasks within the SLA (service level agreements).
• Complete tasks using internal processes, timelines and standard operation procedures.
• Communicate effectively to assigned advisors, team members, and other departments.
• Provide ongoing customer service for specific client requests and for online account access.
• Schedule client meetings and appointments.
• Maintain client database including updates, changes in status, and client requests.
• Maintain compliance with broker/dealer and regulatory requirements.
• Work as a team member including backup for other members when assigned.
• Perform front-desk backup including answering phones and greeting guests.
• Attend mandatory team and company meetings.
• Participate in and aid with company events (sometimes outside of normal work hours).
• Other duties as assigned.

Requirements

• 1-3 years of financial industry experience preferred.
• High school diploma required.
• Bachelor’s or Associate’s degree in business administration, finance, or accounting preferred.
• Certain attention to detail.
• Exceptional transactional accuracy and procedural discipline.
• Professional and positive attitude geared to serving clients.
• Strong desire to deliver superior client service.
• Excellent phone etiquette and interpersonal communication skills.
• Highly ethical team player: desire to work in small team environment with collaboration.
• Proficiency with Microsoft Office including Excel, Word, and Outlook.
• Ability to work at a standard workstation.

Work Environment

• This is a meticulous, client-facing position with changing variables daily.
• Client requests, market changes, or advisor needs vary drastically.
• Efficient time management is essential to success in this role.
• The Financial Operations Associate will acclimate quickly to these sudden changes while keeping a calm and positive demeanor.