The ideal candidate thrives in a fast-paced environment, is committed to operational excellence, and understands the importance of accuracy when handling sensitive client financial information. This role requires strong organizational skills, attention to detail, effective communication, and a collaborative mindset. Prior experience in investment operations, wealth management, brokerage operations, or financial services is strongly preferred.
Key Responsibilities
New Account Opening & Onboarding
- Facilitate the opening of new investment accounts, ensuring all required documentation is complete, accurate, and compliant.
- Review account paperwork for completeness and regulatory requirements prior to submission.
- Track account-opening progress and proactively communicate updates to internal stakeholders.
- Support the implementation of investment recommendations by ensuring accounts are established accurately and efficiently.
Investment Account Servicing
- Prepare, review, and submit servicing paperwork while ensuring accuracy and timeliness.
- Monitor outstanding requests and follow through to completion.
- Maintain detailed records of servicing transactions and client interactions.
Asset Movement & Transfer Processing
- Coordinate incoming and outgoing asset transfers.
- Process ACAT transfers, rollover requests, trustee-to-trustee transfers, and other asset movement transactions.
- Ensure all transfer documentation is completed accurately and submitted according to custodian requirements.
- Track transfers to completion and proactively resolve delays or outstanding issues.
- Partner with advisors and custodians to provide a smooth client experience during transitions of assets.
Advisor & Team Support
- Serve as a key operational resource for financial advisors and planning teams.
- Respond promptly to operational inquiries and requests.
- Collaborate with team members to improve workflows and operational efficiency.
- Assist with special projects, process improvements, and operational initiatives.
- Contribute to a culture of teamwork, accountability, and exceptional service.
Qualifications
Required
- Exceptional attention to detail and commitment to accuracy.
- Strong organizational and time-management skills.
- Ability to manage multiple priorities in a deadline-driven environment.
- Strong verbal and written communication skills.
- Ability to work both independently and collaboratively within a team environment.
- Professional demeanor and commitment to client service excellence.
Preferred
- Previous experience in investment operations, wealth management operations, financial services, brokerage operations, or registered investment advisory environments.
- Familiarity with investment account types, asset transfer processes, and custodial platforms.
- FINRA licenses (or willingness to obtain) a plus.
3 Days a week in Elgin
6 weeks of 4 days a week training in Skokie
$50k to 70k.
