Wealth Operations Specialist - HQ
TITLE: Wealth Operations Specialist
LOCATION: Headquarters
REPORTS TO: Vice President – Wealth Management
CLASSIFICATION: Full Time, Exempt
PAY GRADE: EX 55 ($58,459 – $85,000 annually)
AVAILABILITY: Monday-Friday 8:00am-5:00pm
Position Summary
Responsible for general office operations as well as providing sales assistance for Wealth Advisors and other licensed Sales Representatives through a variety of responsibilities.
Essential Job Functions
The Company will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.
LOCATION: Headquarters
REPORTS TO: Vice President – Wealth Management
CLASSIFICATION: Full Time, Exempt
PAY GRADE: EX 55 ($58,459 – $85,000 annually)
AVAILABILITY: Monday-Friday 8:00am-5:00pm
Position Summary
Responsible for general office operations as well as providing sales assistance for Wealth Advisors and other licensed Sales Representatives through a variety of responsibilities.
Essential Job Functions
- Responsible for processing client paperwork received from Wealth Management personnel, as well as items received through the mail.
- Maintains client database on Branchnet/Clientworks and Salesforce, ensuring information is up-to-date and accurate.
- Composes and sends routine client correspondence in a timely fashion.
- Organizes and maintains file system, files correspondence and other records to meet regulatory and department requirements.
- Receives and processes deposits and requests disbursements.
- Assists in the generation of financial reports and preparing financial statements.
- Assists Wealth Advisors with compliance requirements.
- Answers and screens Wealth Advisors’ telephone calls and arranges conference calls.
- Coordinates Wealth Advisors’ schedules and makes appointments.
- Coordinates and arranges meetings, prepares agendas, reserves and prepares facilities, and records and transcribes minutes of meetings.
- Assists with seminars by preparing presentation materials and coordinating customer and prospect mailings.
- Calls clients for various reasons, including appointment confirmations and follow up.
- Greets scheduled visitors and conducts to appropriate area or person(s).
- Helps clients with miscellaneous questions and scheduling of appointments.
- Processes securities transactions when appropriate.
- Assists in business development and partners with other lines of business to enhance the client experience.
- Reads and routes incoming mail. Locates and attaches appropriate file to correspondence to be answered by Wealth Advisor.
- Prepares outgoing mail and correspondence, including email and faxes.
- Conducts research and compiles and prepares statistical reports.
- Ensures compliance with all applicable federal and state laws and regulations.
- Perform additional duties as necessary.
- A high school graduate or GED required.
- Associate’s degree in Accounting, Business, or Finance desirable.
- Current New York State Life & Accident & Health insurance licenses preferred.
- Minimum of three years’ experience in a brokerage sales/service office required.
- Current FINRA Series 6 and 63 Licenses preferred.
- Current FINRA Series 7 License preferred.
The Company will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.
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Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Management and Manufacturing -
Industries
Financial Services
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