Operations Specialist & Investment Assistant

Job Description

To coordinate the transfer of assets into new/existing client accounts; prepare related account documentation & relevant service documents; serve as the liaison with custodians & ensures accurate transactions and best practices are maintained for clients; calculate and processes RMDs for the firms’ clients. To be successful in this position, one should have the following abilities:outstanding interpersonal/direct client service skills; strong organizational, time management and prioritization skills; wide variety of client support work experience in the financial services industry preferred; demonstrated problem-solving and follow-up skills; flexibility and the ability to work well independently and with a team of professionals.

Essential Duties and Responsibilities

  • Checks alerts online with our primary custodians: Schwab Institutional and Fidelity
  • Checks for correspondence using Junxure and Outlook
  • Maintain detailed accountings of client correspondence in our CRM, Junxure
  • Verifies receipt of client documents by custodians
  • Completes applications and supplemental service request documentation
  • Composes personalized communication such as letters and emails to clients
  • Mails documentation with return postage-paid envelope to clients
  • Responds to client calls, assisting with money movement and/or preparation of related
  • documentation
  • Responds to client emails as needed and confirm actions taken to address their request
  • Monitor and follows up on outstanding items, including asset transfers, account openings etc.
  • Processes incoming mail items for submission to Schwab/Fidelity and other custodians
  • Take steps to ensure proper verification is completed to ensure client NPI remains protected
  • Reviews custodial forms completed by client to ensure completed correctly both for
  • custodian and compliance regulations
  • Research charities to ensure client gifts are being processed correctly and to the correct
  • charity address
  • Scans all items to be submitted to custodians, including checks, applications and TOA’s
    • Names and files scanned documents on paperless document management system,
    • Worldox, after ensuring completeness
    • Prepares UPS labels and packets for custodians and clients
    • Communicates cordially with clients by phone, fax, email and/or letter formats


Two (2) years in operational experience

Five (5) years of support and/or customer service experience

Preferred experience working with the following custodians: Charles Schwab and/or Fidelity

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