Investment Operations

Essential Duties & Responsibilities

• Record conversations and requests in SmartOffice Process
• Distribute requests to clients
• Maintain client records and notes in SmartOffice Open new investment accounts/schedule client meetings
• Utilize Advice Pay
• Enter contributions in Wealthscape/Assetmark and other investment platforms
• Request trading on new investments
• Maintain and report all investment activity (weekly)
• Set up bank links to investment accounts
• Set up monthly Periodic Investment Plans (PIP) for clients
• Submit "Securities-Based Line of Credit" (SBLOC) applications
• Aid with Maryland 529 applications
• Annually process Required Minimum Distributions (RMD)
• Answer phone calls
• Greet public that comes into the office
• Schedule appointments
• Scan/Fax/Record all documents
• Sort mail
• Submit invoices outside of Advice Pay
• Monitor Investment licensure for staff by state of client
• Submit correspondence and extensions to Kestra Financial for approval of staff written documents
• Maintain all compliant requirements
• Maintain Office lobby and kitchen with supplies and ensure "Client Ready" appearance
• Order/Maintain all needed office equipment/furniture/supplies
• Additional responsibilities may be assigned from time to time

Education & Experience

• Four-year bachelor's degree in finance, accounting, or other closely related field
• May substitute 1.5 years of experience for one year of education

Knowledge, Skills & Abilities

• Strong ability to communicate and work effectively as a team member
• Attention to detail, thoroughness, and number accuracy
• Ability to clearly follow direction and articulate and write responses in English
• Sound judgment when dealing with clients and staff members
• Work under pressure and meet mandatory deadlines as needed
• Sound judgment in determining prioritization of work
• Keen sense of ownership of job responsibilities
• Knowledge of Microsoft Suite and able to comprehend and use software common in the industry

Physical Demands and Work Environment

• Routine 8-hour shift; but may be subject to irregular hours based on shift demands
• Ability to lift to 15 lbs
• Visual and auditory acuity sufficient to read Company materials and view monitor and telephone
• Work in an indoor environment; may be exposed to variations in room temperature and noise level
• Must be able to voice/write communication with staff and clients in English
• Must be able to use normal office equipment to include, but not limited to computer (laptop), telephone, printers, scanner, postage machine, and multiple computer monitors