Summary

Be the first and last line of defense related to clients' welfare while assisting Investment Advisors in providing the highest level of service during all stages of the relationship

Essential Functions

Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions.

• Provide service to clients in a professional and timely manner in response to regular and varied account-related inquiries; work in tandem with custodians and investment management partners and their service teams to do so
• Utilize deep level of knowledge to resolve service-related matters for client accounts
• Open, close and maintain investment accounts
• Process and/or monitor account transfers, cash, and asset movements for qualified and non-qualified accounts, facilitate trades, alternative investment purchases, capital calls, transfers, and distributions
• Identify issues requiring instant elevation to the Operations Manager, Investment Advisor, or Chief Compliance Officer
• Maintain the integrity of best practice procedures and compliant paperless record keeping
• Assist with overall team workload, projects, firm initiatives, and various other duties as assigned
• Various administrative responsibilities related to our compliance requirements, reports, calendar and/or software
• Proficiently and efficiently work with multiple technology programs and platforms
• Competencies
• Basic understanding of MS Office
• Ability to take numerous inputs from client and colleagues and organize them into actionable steps
• Takes initiative to address client needs
• Basic understanding of regulatory environment and fiduciary standards
• Strong analytical skills
• Strong interpersonal and relationship building skills

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Supervisory Responsibilities

Not applicable

Physical Demands

Walking (10%), Standing (10%), Sitting (70%), Lifting (10%)

Required education and experience

• High School Diploma or G.E.D.
• 4-6 years of experience in the financial services industry (i.e. securities, insurance, corporate finance, banking) RIA, Brokerage, Custodian, Wealth Management or Financial Planning firm preferred

Preferred education and experience

• Advance knowledge of MS Office
• Experience working with custodial platforms / systems
• Strong interpersonal skills
• Exceptional level of critical reasoning, accuracy, and attention to detail
• Strong organizational and time management skills
• Ability to work independently