Investment Operations Specialist

COMPANY OVERVIEW

At Five Cities Financial, our mission is to positively impact lives by fostering lifelong relationships with our clients. We provide personalized financial planning experiences, guiding individuals towards the realization of their financial goals and dreams. By bridging the gap between uncertainty and retirement confidence, our team empowers clients to move forward with assurance on their financial journey.

POSITION OVERVIEW

As an Investment Operations Specialist, you will play a crucial role in ensuring the smooth operation of client accounts and delivering exceptional service. Your key responsibilities will include:

New Account Onboarding

Managing the onboarding process for new account openings with meticulous attention to detail.

Facilitating the establishment of new investment accounts, encompassing both brokerage and advisory.

Handling transfers into existing accounts, ensuring seamless transitions for clients.

Existing Account Servicing

Addressing client needs related to existing investment accounts, such as address changes and beneficiary updates.

Double-checking case notes and advisor materials before submission to maintain accuracy and quality.

General Operations Support

Collaborating with the team on special projects aimed at enhancing operational efficiency and client experience.

Providing overflow support for various tasks, including answering phones, completing special projects, and assisting with distribution processing.

REQUIRED QUALIFICATIONS

Prior investment operations support experience.

Series 7, 6 and/or 63 license(s), or the ability to obtain within first 24 months of employment.

Life and Health insurance license, or the ability to obtain within first 12 months of employment.

PREFERRED QUALIFICATIONS

Experience with Pershing and/or NetX360 platform a plus

IDEAL CHARACTERISTICS

Attention to detail: Thoroughness in managing client accounts and ensuring accuracy in all tasks.

Strong communication skills: Ability to effectively communicate, both verbally and in writing.

Client-friendly: Dedicated to providing exceptional service and building rapport with clients.

Personable: Capable of connecting authentically with clients and colleagues.

Collaborative: Works well within a team environment, providing support and assistance as needed.

Note: While the outlined responsibilities are primary, flexibility and adaptability are essential as duties may evolve with business development and needs.

COMPENSATION & BENEFITS

Competitive salary and a full range of benefits including health, dental, vision, 401k with match, short-term disability, license/credential reimbursement, continuing education and more.