Investment Operations Specialist

An Investment and Financial Planning Associate/Associate Wealth Management Advisor (AWMA) may act on behalf of the employing wealth management advisor to prospect, prepare materials, maintain and service advisory accounts (including conducting annual reviews). Specific responsibilities may include some, or all, of the duties of an Associate Financial Representative (Registered), as well.

• Handle case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork
• Responding to home office account inquiries
• Ensuring NMIS and NMWMC compliance requirements are implemented and followed

• Preparing and processing all paperwork needed for investment/advisory accounts
• Monitoring, processing and following up on asset transfers and on initial and subsequent funding of advisory accounts
• Discussing potential rollover opportunities from other retirement plans for variable and mutual funds

• Corresponding with clients to handle advisory related service issues
• Maintaining daily system for account follow-ups and service requirements
• Performing cashiering functions

• SIE and General Securities Registered Series 6/63, Series 7 (preferred)
• Preferred to hold a valid Life, Health and Accident License - or ability to complete this within 60 days of accepting the opportunity if offered
• 2+ years in securities industry with experience in advisory required
• High degree of technical skills including experience with Microsoft applications, data entry and information retrieval software
• Excellent oral and written communication skills
• Strong critical thinking, financial analysis and problem-solving skills required
• Ability to manage multiple diverse projects and assignments in a timely and quality manner
• Strong attention to detail with the ability to work with a high degree of accuracy
• Demonstrated ability to maintain effective working relationships with clients
• Ability to look beyond the obvious and not stop at the first answers
• Willingness to learn
• Ability to embrace change and work in a fast-paced environment
• Able to work both independently and in a team
• Ability to maintain confidentiality
• Ability to work in the office 3 days per week.