Investment Operations

The Investment Operations person has responsibility for the efficient and effective operations. This includes the managing of client relations, investment operations and general office responsibilities.

Essential Duties & Responsibilities:

Client Responsibilities   

• Record conversations and requests in SmartOffice
• Process distribution requests

Investment Operations Responsibilities

• Maintain client records and notes in SmartOffice.
• Open new investment accounts/schedule client meetings
• Utilize Advice Pay
• Enter contributions in Wealthscape/Assetmark and other investment platforms.
• Request trading on new investments
• Maintain and report all investment activity (weekly)
• Set up bank links to investment accounts.
• Set up monthly Periodic Investment Plans (PIP) for clients.
• Submit “Securities-Based Line of Credit” (SBLOC) applications.
• Assist with Maryland 529 applications.
• Annually process Required Minimum Distributions (RMD)

Office Responsibilities

• Answers phone calls
• Greet public that comes into the office.
• Schedule Appointments
• Scan/Fax/Record all documents.
• Sort Mail
• Submit invoices outside of Advice Pay
• Monitor Investment licensure for staff by state of client.
• Submit correspondence and extensions to Kestra Financial for approval of staff written documents.
• Maintain all compliant requirements.
• Maintain Office lobby and kitchen with supplies and ensure “Client Ready” appearance.
• Order/Maintain all needed office equipment/furniture/supplies.
• Additional responsibilities may be assigned from time to time.

Education & Experience:

Four-year bachelor's degree in finance, accounting, or other closely related field. May substitute 1.5 years of experience for one year of education.

Knowledge, Skills & Abilities: 

• Strong ability to communicate and work effectively as a team member.
• Attention to detail, thoroughness, and number accuracy.
• Ability to clearly follow direction and articulate and write responses in English.
• Must have sound judgment when dealing with clients and staff members.
• Work under pressure and meet mandatory deadlines as needed.
• Sound judgment in determining prioritization of work.
• Keen sense of ownership of job responsibilities
• Knowledge of Microsoft Suite and able to comprehend and use software common in the industry.

Supervisory Responsibilities: None

Physical Demands and Work Environment:

The physical demands and work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform these essential functions.

• Routine 8-hour shift; but may be subject to irregular hours based on shift demands.
• Ability to lift to 15 lbs.
• Visual and auditory acuity sufficient to read Company materials and view monitor and telephone.
• Employees will work in an indoor environment; may be exposed to variations in room temperature and noise level.
• Must be able to voice/write communication with staff and clients in English.
• Must be able to use normal office equipment to include, but not limited to computer (laptop), telephone, printers, scanner, postage machine, and multiple computer monitors.

EEO/AAP Statement:

We provide equal employment opportunity to all individuals regardless of their race, color, creed, religion, gender, age, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by state, federal, or local law.  Further, the company takes affirmative action to ensure that employees are treated during employment without regard to any of these characteristics.  Discrimination of any type will not be tolerated.