Investment Operations Coordinator
Overall Function
The Investment Operations Coordinator role specializes in client service and processing of variable products and other securities. This role I essential to helping maintain a compliant investment process for the firm and ensuring accurate and timely completion of investment related tasks. Responsibilities of the role include but are not limited to:
Responsibilities
• Obtain all necessary information along with specific instructions from the financial advisor for PX input (all modules including asset allocation)
• Handle case notes, processing correspondence, maintaining client case files, and filing new statements, account forms and other insurance and investment related materials
• Maintaining compliance for assigned client cases
• Gathering information for financial advisor’s meeting with client/prospect
• Managing DocuSign and client signature processes by appropriate deadline
• Preparing and processing all paperwork needed for investment/advisory accounts as assigned
• Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
• Receiving and forwarding checks and related paperwork to investment operations area
• Processing and monitoring funding of advisory account and asset transfers to ensure selected asset allocation is implemented
• Execute trades of brokerage and advisory accounts
• Accepting redemptions/withdrawals from clients and communicating instructions to home office
• Maintaining daily tickler system for account follow-ups and service requirements
• Performing cashiering functions
• Running performance reports in Envestnet, Morningstar and NMCIR
Requirements
• 2-3 years of investments industry experience preferred, but not required
• Health and Life licensed or gain licensing within 30 days of employment
• SIE and Series 6 and 63 or ability to obtain within 6 months of employment
• Excellent oral and written communication skills
• Able to practice active listening and communicate in a professional manner
• Strong attention to detail with the ability to work with a high degree of accuracy
• Ability to proactively manage multiple diverse projects and assignments in a timely and quality manner
• Ability to embrace change and work in a fast-paced environment
• Able to collaborate and work between areas of expertise on the team
• Ability to maintain confidentiality
• Strong desire to learn and grow within the role and team