Investment Operations Associate - Client Onboarding Specialist

Investment Operations Associate - Client Onboarding Specialist

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This range is provided by Strategic Wealth Designers. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

$65,000.00/yr - $75,000.00/yr

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Nearly 23 years ago, 23-year-old Matthew Dicken grew frustrated with the issues plaguing the financial services industry and set out on a mission to change the industry standard and prioritize clients in retirement planning. What started as a small two-person team in a 1,200 sq. ft. office in Louisville, KY, has evolved into the Strategic Wealth Designers we now know, with 18 locations across the U.S. and almost 100 employees.

As we continue to grow, we’re looking for passionate individuals to help take us to even greater heights.

At Strategic Wealth Designers (SWD), we are a full-service financial firm specializing in assisting individuals who are near or in retirement. We pride ourselves on fostering a collaborative and close-knit environment, and we are looking for a new team member who can complement our team’s values and culture.

We’re seeking an experienced, patient, organized, and efficient individual who is excited to contribute to the success of our business. The right person will exceed expectations and develop strong, lasting working relationships with our growing team. If you bring a positive attitude to work each day and are motivated by personal and professional growth, we would love to hear from you.

The Investment Operations Associate with a Client Onboarding focus will primarily interact with our advisory team and Relationship Management Team to provide essential back-office support within the firm, specifically around the completion and processing of new account and client onboarding paperwork. They will complete all documentation and reporting requests related to opening new financial accounts. This may include but is not limited to new account paperwork, 401k/pension rollover calls, database management, appointment preparation including updating client account summaries for review meetings, prepping Relationship Managers in different markets for client meetings, sales report preparation and preparing issued accounts and contracts for delivery.

• 1-3 years of experience dealing with documentation and paperwork (preferably in a financial services setting)
• Experience with Salesforce CRM and Docu Sign
• Experience in back-office operations, data entry, or account maintenance within the financial services industry
• Strong experience with MS Office and the ability to learn new software quickly
• Highly intelligent, strong organizational skills and attention to detail
• Highly task driven and data motivated
• Must take direction well
• Proactive mentality, positive attitude, and consistent follow-through
• Ability to complete tasks with little or no supervision

The Investment Operations Associate will be expected to follow-through consistently in all efforts. Other daily, weekly, and/or monthly tasks may include:

• Assist in completing and processing all client onboarding paperwork, including data entry and ensuring all required forms are completed and submitted accurately for managed money and annuity accounts.
• Support the opening of new accounts, ensuring that all necessary documentation is collected, verified and submitted to the custodian.
• Collaborate with client-facing teams to ensure that client information is accurately entered into the system, facilitating a smooth transition to account management.
• Handle routine money movement requests, ensuring that transfers, distributions and other new client-directed transactions or rollovers are processed accurately and efficiently.
• Serve as a liaison between the firm and the custodian and monitor any client onboarding issues that may require action.
• Proactively monitor accounts for potential issues and elevate concerns to the appropriate teams for resolution.
• Ensure that all documents are properly filed and accessible,…