Lead Advisor is a wealth management recruiting and consulting firm. This role is for one of our clients in Nashville. To view other open roles, visit jobs.lead-advisor.com
Associate Financial Representative (Investment Operations Focused)
Our client is a team of credentialed professionals dedicated to help clients grow and protect the wealth they have earned. Their task is to simplify the complex to enable clients to pursue what matters. They work with you to develop a strategic vision, build a custom plan, and connect the right resources to your goals. Their team of Wealth Management Advisors and Associates will ensure the highest standard of client service.
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
