What are the responsibilities and job description for the Financial Operations Associate position at IAG Wealth Partners?
Financial Operations Associate
IAG Wealth Partners
Waukesha, WI
The Financial Operations Associate Position at IAG Wealth Partners is an individual who presents as organized, professional, self-motivated, energetic, with clear and concise communication skills. The Financial Operations Associate will provide exceptional administrative, operational, and customer service support through a reliable, organized and proactive workflow. The Financial Operations Associate is accountable for the achievement of individual and team goals within a demanding environment. This individual owns the ability to work independently and self-motivate while completing all responsibilities with great attention to detail.
Core Competencies:
• Client Facing Communication & Service: Enthusiastic, Patient, Respectful, Empathetic.
• Client Information Management: Accuracy, Documentation & Follow up.
• Compliance & Procedural Discipline: Attention to Detail - Error Free Work.
• Team Collaboration & Communication: Willingness, Clear and Concise, Active Listener.
• Professionalism: Conduct, Presentation, Interactions.
• Workflow Ownership: Proactive, Reliable, and Organized.
• Values Alignment: Integrity, Service Minded, Stewardship, Humility/Teachability, Empathy, and Respect.
Responsibilities:
• Develop a cohesive and efficient working relationship with assigned financial advisor(s).
• Develop and support professional relationships with clients via phone, email, and in-person.
• Prepare forms and other materials for client meetings as needed or directed.
• Process required paperwork for client account set-up and investment implementation.
• Complete tasks within the SLA (service level agreements).
• Complete tasks using internal processes, timelines and standard operation procedures.
• Communicate effectively to assigned advisors, team members, and other departments.
• Provide ongoing customer service for specific client requests and for online account access.
• Schedule client meetings and appointments.
• Maintain client database including updates, changes in status, and client requests.
• Maintain compliance with broker/dealer and regulatory requirements.
• Work as a team member including backup for other members when assigned.
• Perform front-desk backup including answering phones and greeting guests.
• Attend mandatory team and company meetings.
• Participate in and aid with company events (sometimes outside of normal work hours).
• Other duties as assigned.
Job Requirements:
• 1-3 years of financial industry experience preferred.
• High school diploma required.
• Bachelor’s or Associate’s degree in business administration, finance, or accounting preferred.
• Consistent and exceptional attention to detail.
• Exceptional transactional accuracy and procedural discipline.
• Professional and positive attitude geared to serving clients.
• Strong desire to deliver superior client service.
• Excellent phone etiquette and interpersonal communication skills.
• Highly ethical team player: desire to work in small team environment with collaboration.
• Proficiency with Microsoft Office including Excel, Word, and Outlook.
• Ability to work at a standard workstation.
Work Environment
This is a meticulous, client-facing position with changing variables daily. Client requests, market changes, or advisor needs vary drastically. Efficient time management is essential to success in this role. The Financial Operations Associate will acclimate quickly to these sudden changes while keeping a calm and positive demeanor.
For 40 years, our team members have provided the highest level of service. We are dedicated to continuing our mission to help our clients make sound wealth management decisions so they can pursue their goals.
Position
Full-time
On-site/In the office
Exempt
Monday – Friday: 8:30 am – 5:00 pm
Benefits Eligible