Our client is a multi generational wealth management practice. They provide integrated financial planning for over 500 high net worth clients nationwide.
They are currently seeking an Operations Associate to support the firm.
Responsibilities
- Responsible for input of brokerage and advisory trading of client accounts
- Prepare and deliver account opening documents, and insurance applications to clients
- Service and maintain client accounts (Ownership/Beneficiary changes, rebalancing, etc.)
- Take client requests for deposits and distributions from accounts and execute them
- Proactively communicate with Advisors regarding work in progress
- Managing the financial planning process including, data gathering, setting up the plan in the financial planning software, running various scenarios, and preparing the plan for presentation to the client
- Respond to requests for service and troubleshoot service issues
- Regularly prepare supporting materials and sample reports for clients
- Answer inbound phone and email inquiries
- Take clients through the insurance underwriting process and complete ongoing service for risk management
- We expect the candidate to sit for and pass their Colorado Life & Health, SIE, Series 7, and Series 63 within their first 8 months of employment
- Customize financial plans for each client based on his or her professional/work circumstances, life stage, and evolving financial needs
- Support clients’ progress toward their financial goals through strategic product, plan, and investment recommendations
- Gather and assess each client’s financial information to accurately determine factors including financial status, cash flow, monetary expectations, financial goals, retirement plans, and additional factors related to wealth management
- Serve as a collaborative team player willing to further development through continued training opportunities
Qualifications
- Must be an above-average communicator with exceptional interpersonal skills
- Must have an understanding of investments and general financial knowledge
- Must have strong organizational and prioritization skills
- Excellent follow-up and follow-through capabilities
- Professional attitude, flexibility, demeanor, and appearance
- Previous work experience in the financial industry is preferred
- Valid FINRA Series 7 & 63/66 preferred but not required
- Exemplary math skills, communication skills, and relationship skills to support strong customer service for current and new clients
- Working knowledge of financial products, the financial industry, personal financial advisor or responsibilities, or financial planner roles is essential
- A Bachelor’s degree in finance, business administration, or alternate related analytical field is required
Compensation
- $50,000 - $60,000
What We Do
Based in Northern California’s wine country, our consulting firm believes that if your employees truly are your best asset, then the quickest way to grow your business is to get better at getting (and keeping) better people.
We offer turnkey solutions that leave our clients with a repeatable process in place so that value continues to be created even after the retainer ends. Our ideal clients are small to medium businesses that know they can improve their talent acquisition and retention strategies, but they just don’t know where to begin.
