- Oversee the process of opening new client accounts with follow-up on all transfers, checks and paperwork processed, ensuring accounts are funded in a timely manner.
- Process client requests and solve client issues promptly and professionally.
- Communicate with several private wealth advisors, building relationships and assisting them with the needs of mutual clients paperwork, onboarding, exiting, money movement, trading, etc.
- Operational support for broker dealer business and registered representatives.
- Assist lead trader with billing and trading.
- Manage monthly billing of accounts.
- Oversee and ensure annual RMDs are processed timely and correctly.
- Electronically file client paperwork according to file process, keeping files organized and consistent.
- Collect and prepare information/data for internal and external reports, correspondence, and spreadsheets for client needs and requests.
- Work with team members to continue to develop and improve best practices which enhance the quality and efficiency of daily operations.
- Assist with preparation of the annual client mailing of regulatory filings (ADVs).
- Provide administrative support to the CEO, COO/CCO on an as-needed basis.
- Three (3) to five (5) years of experience with an investment advisor or broker-dealer is preferred, familiarity with the asset/investment management industry a plus.
- Experience with one of the following investment and wealth management platforms is preferred: Schwab Advisor Center, Fidelity Wealthscape, Pershing Net360, LPL Client Works, Orion, Black Diamond, Tamarac, Advent, Addepar, CircleBlack, Advyzon, or similar.
- Proficiency with Microsofts Office Suite and Outlook.
- Effective communication skills and produce high-quality work.
- Well organized and detail-oriented with the ability to handle simultaneous issues and prioritize.
- Self-motivated with a willingness to take initiative and ownership of responsibilities.
- Work with a high level of energy; either alone or as a part of a team.
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Investment Operations - Saratoga Springs, United States - Quartz Partners Investment
2 weeks ago
Description
Description
The Investment Operations Associate position is located in Saratoga Springs, NY and the position is responsible for aiding private wealth advisors in client service operations, including onboarding, and maintaining client accounts, trading, reporting, and portfolio administration, for a FINRA-registered broker dealer and an SEC registered investment advisor that provides asset management services to financial advisors and their clients. As the primary point-of-contact for client requests (money links, ACH, wire and check requests, journals, account updates, etc.),this position acts as an intermediary between the clients private wealth advisor (acting on their behalf and providing concierge servicing). To best serve our clients and our company, the ideal candidate will enjoy helping people, have a high attention for detail, possess critical thinking skills - able to work through various, sometimes complex, issues to best resolution, with a proactive, positive can-do attitude, and a willingness to take initiative and offer suggestions for improvement. This position will report directly to the VP, Operations.
Duties and Responsibilities
Qualifications and Skills
Work Environment
Quartz Partners office is a quiet, professional environment with a business casual dress code. All employees need to be able to handle sensitive information in a confidential manner. As a firm, we make our corporate culture a top priority by adhering to our firm values.
FIRM VALUES
Value: We value the relationships with our clients, employees, and stakeholders, demonstrating this by being accessible, collaborative, responsible, and accountable.
Act: We act with integrity by being transparent and honest; doing the right thing to establish and build long-term trusting relationships.
Learn: We are curious and open to continuous learning.
Understand: We understand our clients have many options; we stand out by recognizing their investment needs, providing superior customer service and a commitment to operational excellence.
Enjoy: We experience enjoyment in the work we do, recognizing that we each do our best work when we have the right balance between our work and home life.
PURPOSE
To provide comprehensive financial solutions to allow our clients to live life well and plan for a future worth celebrating.
VISION
Enriching life and advancing the industry by offering complementary investment strategies and technology solutions to help grow clients investment portfolios.
