Investment Operations Specialist

Lead - Advisor is a consulting and search firm specializing in wealth management. This role is for a client firm.

We are helping our client in Davenport hire a, Investment Operations Specialist.

COMPANY OVERVIEW

Our client's mission is to positively impact lives by fostering lifelong relationships with their clients. They provide personalized financial planning experiences, guiding individuals towards the realization of their financial goals and dreams. By bridging the gap between uncertainty and retirement confidence, their team empowers clients to move forward with assurance on their financial journey.

POSITION OVERVIEW

As an Investment Operations Specialist, you will play a crucial role in ensuring the smooth operation of client accounts and delivering exceptional service.

Your key responsibilities will include:

New Account Onboarding

-Managing the onboarding process for new account openings with meticulous attention to detail.

-Facilitating the establishment of new investment accounts, encompassing both brokerage and advisory.

-Handling transfers into existing accounts, ensuring seamless transitions for clients.

Existing Account Servicing

-Addressing client needs related to existing investment accounts, such as address changes and beneficiary updates.

-Double-checking case notes and advisor materials before submission to maintain accuracy and quality.

General Operations Support

-Collaborating with the team on special projects aimed at enhancing operational efficiency and client experience.

-Providing overflow support for various tasks, including answering phones, completing special projects, and assisting with distribution processing.

REQUIRED QUALIFICATIONS:

-Prior investment operations support experience.

-Series 7, 6 and/or 63 license(s), or the ability to obtain within first 24 months of employment.

-Life and Health insurance license, or the ability to obtain within first 12 months of employment.

PREFERRED QUALIFICATIONS:

-Experience with Pershing and/or NetX360 platform a plus

IDEAL CHARACTERISTICS:

-Attention to detail: Thoroughness in managing client accounts and ensuring accuracy in all tasks.

-Strong communication skills: Ability to effectively communicate, both verbally and in writing.

-Client-friendly: Dedicated to providing exceptional service and building rapport with clients.

-Personable: Capable of connecting authentically with clients and colleagues.

-Collaborative: Works well within a team environment, providing support and assistance as needed.

Note: While the outlined responsibilities are primary, flexibility and adaptability are essential as duties may evolve with business development and needs.

COMPENSATION & BENEFITS:

Competitive salary and a full range of benefits including health, dental, vision, 401k with match, short-term disability, license/credential reimbursement, continuing education and more.

Join our team and be part of a group committed to empowering individuals on their financial journey. Apply now to contribute to our mission of making a positive difference in the lives of our clients.

Salary: 45-65k

Lead-Advisor, LLC is a Wealth Management Consulting and Search Firm. We help Fortune 500 firms, independent RIAs and solo-practitioners identify talent for their hiring needs. We help wealth management professionals upgrade their careers and find new opportunities.

For more information or additional career resources please visit www.lead-advisor.com.

Job Type: Full-time

Pay: $45,000.00 - $65,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• Day shift

Work setting:

• In-person
• Office

Ability to Relocate:

• Davenport, IA: Relocate before starting work (Required)

Work Location: In person

Salary : $45,000 - $65,000