Our firm is a close, tightly knit team which interacts collaboratively to deliver best in class financial planning services to our clients. We bring our values to work each day: trust, humility, optimism, responsiveness, hard work, and a commitment to doing whatever it takes to make things right. Being a talented and trusted advocate for one of life’s most precious and important resources—financial security—is a high honor. Our firm is looking for an individual who wants to share in that honor.

This is an exciting opportunity for a talented team member to join the firm. If you possess experience as an Investment Operations Associate and want to provide a high-quality experience for your teammates and clients, we want to hear from you, so please get in touch today as we would like to meet the very best candidates immediately.

As an Investment Operations Associate, you can expect to:

§ Provide excellent, best in class service to clients – individuals, families, and owners of privately-held businesses in our area and across the country

§ Assist with the daily operations of the Wealth Management department, including:

o Investment account opening and ongoing account servicing

o Assisting clients with transfers and rollovers of assets and subsequent follow up

o Overseeing the movement of money (including but not limited to one-time or periodic contributions, disbursements, journal transactions), and the establishment and maintenance of banking instructions

o Discussing and assisting with client beneficiary designations

o Guiding clients through online account access, navigation, and document access

o Ownership and documentation of investment processes

§ Contribute to the smooth functioning of the office as a whole:

o Creating/running reports and other documents for client meetings, client correspondence, etc.

o Creating and maintaining the organization and completeness of electronic client files

o Utilization and maintenance of the in-house CRM System to efficiently maintain client information

o Attending meetings as needed, documenting discussions, recording and following through on task assignments

§ Make and implement suggestions to systematize and improve office functions

Sound appealing? We are building a team with people who share our vision and want to add value to our clients’ lives. The attributes that we are looking for in a teammate include:

§ Energy and enthusiasm

§ Professionalism, poise, and maturity, especially in stressful situations

§ Polished verbal and written communication skills

§ Insistent attention to detail

§ Self-directed time management and prioritization capabilities and outstanding organizational skills

§ Demonstrated integrity, work ethic, and commitment to maintain firm and client confidentiality

§ Motivation to work on varied assignments

§ Flexibility and openness to step in and do whatever is needed to support the team

§ Numerical reasoning aptitude; a facility with and knack for processing numerical patterns with logic and ease

§ Proven critical thinking skills, able to identify appropriate resolutions

§ Curiosity to explore technological solutions that bring efficiency

§ Ability to connect with others and build relationships

§ Ability to self-start, take initiative, be proactive, and learn quickly

§ Team player with strong desire to be a long-term contributing member of the team

Get in touch today so that we can get to know you! If you are a fit for this position, we know that you are interested in more details. Read on! Qualifications for this role include:

§ Bachelor’s degree required, preferably in a related field (e.g., finance, economics, etc.)

§ Minimum of 2 years relevant work experience

§ FINRA Series 7 and 66 (or 63 and 65) required

Experience working with broker/dealer back office operations is required

Experience working with National Financial Services preferred

§ Proficiency in using multiple technology platforms (e.g., MS Office 365, MS Outlook, Excel, and Word; CRM system, etc.)

§ Ability to work in a dynamic environment and to adapt to shifting priorities as needed

§ Ability to organize time, prioritize urgencies, manage diverse activities, meet deadlines, and execute timely follow-ups

§ Ability to work proactively and independently while maintaining focus on overall team results

§ Demonstrated job stability

We welcome a diverse pool of applicants from various backgrounds and urge you to apply to learn more about what our firm offers and see if it might be an attractive fit for both us and you. We look forward to meeting you!

Job Type: Full-time

Pay: $70,000.00 - $90,000.00 per year

Benefits:

• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Retirement plan
• Vision insurance

Physical setting:

• Office

Schedule:

• 8 hour shift
• Monday to Friday

Supplemental pay types:

• Bonus pay

Ability to commute/relocate:

• Glastonbury, CT 06033: Reliably commute or planning to relocate before starting work (Required)

Education:

• Bachelor's (Preferred)

Experience:

• Financial advisor: 2 years (Preferred)
• Financial planning: 2 years (Preferred)

License/Certification:

• CFP (Preferred)
• Series 7 (Preferred)
• Series 66 or 63/65 (Preferred)

Work Location: In person

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