Investment Operations

2 weeks ago


Columbia, Maryland, United States Kestra Financial Independent Advisor Full time

Investment Operations Specialist

If you are someone who thrives on managing client relationships, investment operations, and general office tasks, this role might be a perfect fit for you. As the Investment Operations Specialist, you will be responsible for efficiently handling various operational duties. Check out the details below:

Essential Duties & Responsibilities:

Client Responsibilities

  • Document conversations and requests in SmartOffice
  • Process distribution requests

Investment Operations Responsibilities

  • Maintain and update client records in SmartOffice
  • Initiate new investment accounts and schedule client meetings
  • Utilize Advice Pay for transactions
  • Enter contributions in Wealthscape/Assetmark and other investment platforms
  • Request trades for new investments
  • Maintain and report on all investment activities on a weekly basis
  • Establish bank links to investment accounts
  • Set up monthly Periodic Investment Plans (PIP) for clients
  • Handle "Securities-Based Line of Credit" (SBLOC) applications
  • Support with Maryland 529 applications
  • Process Annual Required Minimum Distributions (RMDs)

Office Responsibilities

  • Manage incoming phone calls
  • Welcome visitors to the office
  • Schedule appointments
  • Handle document scanning, faxing, and recording
  • Organize incoming mail
  • Process invoices outside Advice Pay
  • Monitor staff investment licenses based on client location
  • Submit documents and extensions for approval
  • Ensure compliance with all regulations
  • Maintain a professional office appearance for clients
  • Order and manage office supplies and equipment
  • Complete any additional tasks as required

Education & Experience

A bachelor's degree in finance, accounting, or related field is required. Equivalent experience can be considered in place of formal education.

Knowledge, Skills & Abilities:

  • Excellent communication and teamwork skills
  • Strong attention to detail and accuracy
  • Ability to follow instructions and communicate effectively in English
  • Good judgment when interacting with clients and colleagues
  • Capability to work under pressure and meet deadlines
  • Prioritization skills and ownership of responsibilities
  • Familiarity with Microsoft Suite and industry-specific software

Supervisory Responsibilities: None

Physical Demands and Work Environment:

This role requires an individual who can handle the physical and environmental demands effectively. Here are some key points:

  • Standard 8-hour work shift with the possibility of irregular hours
  • Ability to lift up to 15 lbs.
  • Visual and auditory acuity for reading materials and using office equipment
  • Work indoors with varying room temperatures and noise levels
  • Proficiency in verbal and written English communication with staff and clients
  • Comfort with using office equipment like computers, telephones, and scanners

EEO/AAP Statement:

Our company is committed to providing equal employment opportunities to individuals from all backgrounds. We value diversity and do not tolerate any form of discrimination in the workplace. Join us in a supportive and inclusive work environment



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