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
Investment Operations Coordinator
Investment Operations Coordinator . 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 Operations Coordinator
Investment Operations Coordinator. 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 i...
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