Investment Operations Specialist

CLIENT SERVICE

-Generate advisory account opening paperwork in accordance with advisor recommendations and fill out forms accurately for successful account opening

-Correspond with clients to gather all pertinent personal information for account opening purposes

-Send clients paperwork through DocuSign and monitor the signing process to ensure completion and submission

-Monitor internal account inquiries and alerts with Custodian and track processes to guarantee complete account set up and follow through

-Monitor, process, and follow up on asset transfers and on initial and subsequent funding of advisory accounts

-Complete rollover calls with clients to move assets

-Utilize internal case tracking systems to proactively communicate with team and advisors on case statuses

-Communicate proactively with advisors on case statuses

-Correspond with clients via email and phone to ensure a smooth experience and delivery of services

-Correspond with clients to handle advisor related services issues and update current accounts with relevant changes in information or details

-Generate reports and participate in preparing and developing client facing documents and meeting materials

-Attend and present in internal case review meetings with advisors and team

-Follow firm compliance manual guidelines and requirements when corresponding with clients or completing service requests

-Train and develop new team members when appropriate on the operational processes related to investment operations, includes correct way to fill out forms, ensure cross training on key functions, and provide backup support within the investment department as needed

-Identify and recommend process improvements in the investment operations and administrative functions to enhance productivity and overall client experience

Qualifications

Series 65 license or willingness to obtain

years of securities industry experience preferred; finance background or related experience will be considered

years of client services experience preferred

follow-through to complete tasks and projects

organizational and time management skills with ability to set priorities and meet deadlines

oriented and accurate

to build rapport and exercise resourcefulness and understanding

oral and written communication skills with the ability to collaborate effectively with others

computer skills/Microsoft Excel

analytical and problem-solving skills