RESPONSIBILITIES
New Account Opening & Client On-Boarding
- Preparing and processing all paperwork needed for investment/advisory account opening
- Monitoring, processing, and following up on asset transfers and funding of advisory and brokerage accounts
- Facilitating 401(k)/IRA rollovers from other retirement plans
- Trading new accounts to target allocation via initial trading and execution of any client-specific transition planning and/or DCA schedule
- Weekly updates and high-touch service and support for new clients to the firm while in the onboarding process
- Resolving any/all trade issues related to new accounts
Account Service, Portfolio Monitoring and Maintenance
- Facilitating portfolio changes approved by the investment committee
- Managing drift notices and compliance alerts and questions
- Rebalancing accounts as needed due to market movement
- Resolving all trade-related issues for existing accounts
- Proactively reminding clients of funding requirements and opportunities and executing as needed/ directed (IRA, 529, RMDs, sideline cash, etc)
- Raising cash through strategic position management to fund/ maintain cash reserves and meet advisory fee needs
Client Service
- Addressing client requests with clear, friendly and highly responsive communication
- Executing cash/ money movements per client requests
- Helping address client questions across topics including, but not limited to tax withholding, tax documents, fees, etc
- Assisting clients with account utilization needs (check writing capability, margin loan set up, requests and repayment, etc)
- Managing client review schedule
Building Expertise and Promoting the Positive Reputation of the Practice
- Full understanding and execution of compliance protocols
- Building collaborative relationships with home office colleagues and resources
- Improving systems and communicating with firm leadership to maintain efficiency, ensure reliability and adapt to changes in our industry, at the company and within the firm
- Working with other team members to ensure we fulfil the promises made to clients in a way that exceeds expectations whenever possible
- Working with other team members to deliver a platinum level of client service (friendly, personal, accurate/knowledgeable and highly responsive)
A SUCCESSFUL CANDIDATE WILL BE:
- Team player: will thrive in a fast-paced, can-do, divide and conquer, collaborative team setting
- Sharp with demonstrated excellence
- Accomplished (highly motivated/ involved, ownership oriented)
- Able to learn quickly and execute to an exacting standard
- Procedural; will thrive on consistently maintaining highly organized processes and owning/seeing an exceptional number of dynamic tasks to completion….yet flexible enough to prioritize, triage, and be creative when needed
QUALIFICATIONS:
- Bachelor’s degree
- 1-3 years of experience in an investment operations role or a very quick learner
- Series 7 and 66 licenses securities trading or willing to get licensed within 6 months of hire
- CT Life and Health license or willingness to get licensed within 6 months of hire
- Exceptionally strong professional communication skills (verbal and written/ email)
- Strong attention to detail with the ability to work with a high degree of accuracy
- A passion for working on an exceptional team and having fun while doing great work
- Demonstrated ability to maintain effective working relationships with clients
- Willingness to learn
- Ability to embrace change and work in a fast-paced environment
- Fluency with traditional software programs; Experience with NetX360 and Envestnet is a plus
