Job Description

Why is This a Great Opportunity?

Growing firm
Dynamic role in a small group
Great benefits (unlimited PTO)
Growth potential


Job Description:

Operations Associate is responsible for the day-to-day duties of various processes in Operations.
An associate will work with a highly experienced operations staff. The position requires a strong understanding
and of the specific duties assigned. This individual works closely with financial advisors and professionals,
compliance and client associates to provide an excellent level of service to our clients.

This role requires cross training and back up for all operations roles.

Responsibilities – Advisory Account
• Accurately process advisory account requests in all systems used for advisory fee processing.
• Review and code agreements for advisory accounts. This process includes verification that all required
information is complete and a review of eligibility of any current assets in accounts for management.
• Ability to accurately calculate advisory fees for each monthly scheduled cycle as well as any pro-rated
fees. Review and verification of vendor calculation is necessary. Must be able to identify and reconcile
differences.
• Prepare the fee document and remit to our clearing firm to post to each client account.
• Understand core systems utilized through our clearing firm.

Responsibilities – Direct Business Commission Processing
• Create and process file for Financial Advisor/Professional direct business compensation for the manual
check and ACH payments received.

Requirements
• Ethical, knowledgeable, fair, reliable, collaborative, ability to maintain confidentiality and possessing a
strong work ethic.
• 3+ years of experience in financial services (Broker Dealer and/or RIA)
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook, TEAMs with aptitude for technology
• Series 99 license to be obtained within a mutually agreed upon timeframe
• Strong communication and interpersonal skills to be able to discuss issues with management, home
office and branch office personnel.


Qualifications:

Requirements
• Ethical, knowledgeable, fair, reliable, collaborative, ability to maintain confidentiality and possessing a
strong work ethic.
• 3+ years of experience in financial services (Broker Dealer and/or RIA)
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook, TEAMs with aptitude for technology
• Series 99 license to be obtained within a mutually agreed upon timeframe
• Strong communication and interpersonal skills to be able to discuss issues with management, home
office and branch office personnel.

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