Investment Operations
Kestra Financial · Columbia, MD · 3 mo ago
On-siteAnalystFull-time
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