The Associate is a support role focusing on investment operations and other tasks in a comprehensive financial planning firm. This full-time position serves a team of financial advisors by offering exceptional administrative support, along with other team members, to create a seamless client experience. The associate maintains an efficient, organized, compliant office and is the liaison between the corporate , financial advisors, and clients. The ideal candidate will be a self-starter who is adept at learning new technologies and thrives in a fast-paced environment. Superb organizational skills, exceptional attention to detail, and high ownership of responsibilities are a must.
Main Responsibilities:
Investment Operations (but not limited to):
- Onboard all client investment accounts
- Handle asset movement including, journals, account transfers and ACHs
- Receive and forward checks and related paperwork to investment operations area
- Process proposal amendments in Envestnet
- Process and monitor funding of investment accounts and asset transfers to ensure selected asset allocation is implemented and proper funds are purchased.
- Monitor Items for Attention (IFA) and bring any action items to the representative’s attention.
- Initiate fund transfers, exchanges, and redemption requests
- Communicate with home office and fund families to supply or obtain information.
- Work with office and fund families to resolve client account issues.
Other (but not limited to)
- Handle any insurance onboarding and application processes with clients.
- Calendar and scheduling client meetings with partners.
- Maintaining client files and CRM.
- Triage various client service questions.
- Process account maintenance items such as address changes, bank change information, loan requests and ISA service inquiries
Qualifications:
- Health and Life licensed or gain licensing within 6 months of employment
- College Degree or equivalent work experience
- Series 6, 63 or Series 7, SIE and 63
- Experience in administrative support or customer service, preferably in the financial services industry
- Organizational and time management skills with ability to multitask
- Ability to oversee the completion of multi-step processes and fulfill related administrative tasks
- Willingness to learn and adapt to changing business needs
- Enjoys making an impact through fulfilling behind-the-scenes tasks and responsibilities
Employment Details and Benefits
- Heath/Dental/Vision insurance
- SIMPLE IRA
- Employer-sponsored licensing
- Full-time position
- Located in Nashville, TN- 4x a week in office
Salary: 70-85k