Lead Operations Associate, Financial Services

Job Description

Job Description

About Vertex Capital Planning

At Vertex Capital Planning, our commitment is to treat our clients as family, ensuring they can face the future with foresight and peace of mind. As a wealth management firm, we create clarity for our clients to live generous and experiential lives. Our clients are families, business owners and leaders. Our mission is to create written plans for families and businesses through best-in-class products, excellent client experiences and services for a lifetime of financial security.

Position Details

The  Lead Operations Associate serves as the primary link between our internal departments, corporate office, and the clients we serve. This individual helps ensure and coordinate an organized practice. This role’s seamless and time-sensitive execution is critical to a memorable client experience. Successful completion of tasks and responsibilities empowers the team to focus their energy and efforts on revenue-generating activity while fostering and developing impactful, enduring client relationships. This position is located in the Northwestern Mutual – Minneapolis District Office at 601 Carlson Parkway Suite 300 Minnetonka, MN 55305, with in-person hours between 8:00 AM – 4:00 PM. 

Responsibilities include but are not limited to:  

• Client service support: executing directives based on client needs 
• Manage client communication including correspondence, notes, files, and maintain compliant client records 
• Completion and submission of applications and account paperwork for processing, and coordinating underwriting support 
• Underwriting management: schedule necessary medical exams, obtain pre-application information, prepare insurance applications, update client records, monitor applications in underwriting, and prepare policies for delivery 
• Investment operations: execute new client onboarding, incoming account transfers, incoming rollovers, withdrawal and deposit requests, and rebalancing tasks
• Team coordination: work with multiple team members to drive good client experience & service
• Keep up to date on software system enhancements, new products, and compliance changes/opportunities
• Participate in learning opportunities

Qualifications:  

• Bachelor’s degree in finance or related field, preferred
• Minimum 3 years of finance, client relations, financial operations and/or financial planning experience
• Active Series 7, and Series 63 registrations, or equivalent required
• Active Minnesota Life, Accident, and Health Insurance license preferred

  Performance Skills:  

• Coachability: possesses a growth mindset and is receptive to guidance and coaching from team members and leadership
• High sense of urgency, attention to detail, and exceptional organizational skills
• Excellent oral and written communication skills
• Task-minded with the ability to follow through and execute in a timely manner
• High degree of initiative and autonomy
• Demonstrates ability to maintain effective working relationships within the firm and its clients

Brady Lindemann uses Vertex Capital Planning as a marketing name for doing business as a representative of Northwestern Mutual. Vertex Capital Planning is not a registered investment adviser, broker-dealer, insurance agency or federal savings bank. Brady Paul Lindemann is an Insurance Agent of NM. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries in Milwaukee, WI.