Operations Associate

Operations Associate

Our client has an immediate need for an operations associate.

The operations associate plays a critical role in the back-office functioning of our firm. With responsibility for the day-to-day operational duties of the firm, the operations associate helps keep the office running smoothly and ensures that all client paperwork and processing is handled in a timely, accurate, and professional manner.

Responsibilities & Activities

• Processes new accounts.
• Processes account transfers.
• Processes new contributions and redemptions.
• Processes beneficiary changes.
• Creates client meeting update books and reviews.
• Sends update meeting letters.
• Coordinates state, SEC, FINRA, and insurance licensing.
• Handles miscellaneous operational activities.
• Develops and maintains written systems of all activities.
• Performs other duties as assigned.

Knowledge, Skills, & Abilities

• Excellent attitude and an extraordinary client service orientation
• A strong focus on getting the details right
• Excellent organizational and time management skills
• An ability to handle multiple tasks within tight time frames
• Proficiency with Microsoft Office Suite
• Strong analytical and research skills
• Strong verbal, written, presentation, and interpersonal communication skills
• BA/BS degree in finance-related field from an accredited institution

Helpful:

• Interest in and knowledge of financial markets and investment securities
• Previous securities industry experience
• FINRA Series 7, 63, (and 65 if needed for your Registered Investment Advisor)

Attendance is an essential function. Salary is commensurate with experience.

For immediate consideration, please send your resume to View email address on click.appcast.io