Investment Services Administrative Assistant

The Investment Services Administrative Assistant helps facilitate efficient processing of investment business for the firm’s advisors. The individual will also assist in educating and training advisors on best practices, form requirements, and technology updates relating to opening and servicing investment accounts and insurance policies.

Key Responsibilities

• Daily operational activities include the seamless execution of investment and financial planning processes.
• Execution of insurance and investment reports for new/pending business. 
• Collaborate with teams to streamline workflows and improve efficiency.
• Facilitate client onboarding, ensuring accurate documentation and compliance with regulatory requirements.
• Call clients for purposes of setting meetings with advisors
• Provide operational support to financial advisors and investment managers in servicing client needs.
• Ensure adherence to industry regulations, company policies, and compliance standards.
• Assist in process audits and risk assessments.
• Coordinate with internal teams such as compliance, training, Home Office counterparts
• Coordinate accurate and timely reporting of operational metrics, client transactions, and account updates.
• Analyze data to identify trends and propose actionable insights to senior management.
• Identify and implement process enhancements to optimize client service and operational performance.
• Participate in technology upgrades and system implementations to improve efficiency.
• Act as backup Front Desk Coordinator when required
• Any other duties assigned by manager

Qualifications

• Bachelor’s degree in finance, business administration, or a related field preferred
• Preferred Series 7 and Series 66 or willing to obtain these licenses
• No disclosures or issues with FINRA that would require special supervision
• Strong understanding of industry-specific roles, products, regulations, and market dynamics
• Excellent communication and interpersonal skills
• Strategic thinker with the ability to analyze complex issues, anticipate challenges, and develop innovative solutions
• Commitment to maintaining confidentiality, professionalism, and integrity in all activities
• Proficiency in Microsoft Office Suite: Outlook , Word, Excel, and PowerPoint

Salary & Benefits

• Annual salary: $50,000 – $55,000, commensurate with experience

Comprehensive benefits package, including:

• Medical, dental, vision, and life insurance
• Company-paid short-term and long-term disability
• 401(k) with 5% company match