Our client is a 100% employee-owned Registered Investment Advisor (RIA) based in Cleveland, Ohio. Due to growth, they are seeking a Operations Associate (OA) who is a self-motivated problem solver of high integrity.

The OA will provide support to the Director of Operations by organizing and ensuring smooth operations across the firm. Always putting the client first, this position will be heavily dependent upon a positive attitude, solid work ethic, attention to detail and desire to go above and beyond.

This role will be 100% on site in their offices in Independence, OH. NO REMOTE OPTIONS. Strict 9-5 daily schedule. Fun culture, family first, significant autonomy for the self-responsible person.

Proficient with Schwab platform.

RESPONSIBILITIES

• Processing new client applications
• Handle servicing of specific client accounts (opening, closing, and transferring of accounts)
• Keep CRM updated with client interactions and processes.
• Prepare and process custodial paperwork to open, transfer or update accounts.
• Prepare Annuity and Life Insurance applications.
• Maintaining client files, account forms and other paperwork required.
• Track and confirm incoming client assets from contra firms.
• Enter client information into the financial planning software.
• Interact and correspond with advisors on account paperwork and information gathering.
• Assist clients in aggregating their accounts into the system.
• Develop and maintain written systems of all job functions and activities.
• Administrative tasks as assigned include, but are not limited to filing, scanning, answering phones, and calendar and database management.

QUALIFICATIONS

• Must be able to work in a team-first, collegial, and results-oriented environment
• Superior verbal and written communications skills
• Proficient across Schwab and Fidelity platforms and Microsoft 365

Last updated : 2024-05-06