Investment Operations Assistant

2 months ago

Lexington, United States Lead Advisor Full time

Lead - Advisor is a consulting and search firm specializing in wealth management. This role is for a client firm.


Investment Operations Assistant


Responsibilities

The responsibilities of the Network Office Investment Operations Assistant are to assist the Investment Services operations manager in onboarding and supporting financial representatives who are selling investments. Provide office, data entry and service administrative support for the office operations by following acceptable procedures. Specific responsibilities include but will not be limited to:


OFFICE ADMINISTRATION

· Open and distribute mail. Prepare outgoing company mail or overnight mail.

· File and log appropriate correspondence and forms.

· Maintain supplies of prospectuses and sales material.

· Maintain complaint file.

· Distribute processed trades and mutual fund statements to registered representatives.

· Handle incoming calls to answer client requests for current account information only or direct calls to appropriate personnel.


DATA ADMINISTRATION

· Processes account maintenance requests.

· Review and process commission reports.

· Review branch production reports.

· Maintain daily bank deposits, check and order logs for Agency Supervisory review/approval.

· Process service requests including funds disbursements, account transfers.

· Process trade correction requests per approval from Agency Supervisor/Invest. Operations Manager.


SERVICE SUPPORT

· Respond to registered representative administrative requests.

· Act as Liaison for Financial Representative needs, client service access, mutual fund access, and troubleshoot paperwork that is lost or processed incorrectly.



Qualifications

It is recommended that the Network Office Investment Operations Assistant have the following qualifications:

· Preferred: Series 6 and Series 63 or Series 7 and Series 63

· One to three years of securities industry experience preferred

· Degree in finance preferred

· Demonstrated computer experience required.

· Strong organizational and time management skills with ability to set priorities and meet deadlines

· Ability to work with a high degree of accuracy in handling detailed work

· Excellent communication skills (verbal and written) with the ability to collaborate effectively with others

· Above average math and data entry skills

· Ability to multi-task and prioritize

· Ability to adapt to change, and identify process improvements

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