Job Description

We are an established wealth management firm located in San Antonio with an extensive 20+ year history in the community. We offer investment management, financial planning, and ongoing financial advising services to a select group of retirees, families, business owners, and high net worth individuals. We help our clients to reach their financial and life goals, with an emphasis on providing excellent service. We consider our clients as part of our family.

We are looking for an experienced Operations Associate. The role is diverse and will include client-specific, account-specific, and general business functions. In addition to having working knowledge of industry software, systems, and processes, you are exceptionally organized, have amazing attention to detail, and are committed to delivering a smooth and confidence-inspiring experience for our clients with every interaction. You are a critical thinker and anticipate subsequent events, with an unwavering ability to solve problems, even with little to no direction. You are a solutions-oriented professional who embraces technology. You love to learn and are always finding ways to improve and expand your impact. You offer proactive service and thrive in doing the little things to make those around you have the best experience possible. The right person for this role will be thoughtful, love to help others, and excited to own and enhance the client experience.

Responsibilities

• Prepare investment and account paperwork and manage the transfer of assets
• Process various client service items, including withdrawals, beneficiary changes, etc.
• Follow up with clients verbally and in writing to obtain required information
• Compile physical and digital documentation for clients and prospects; download, upload, and manage documentation within secure portals, ensuring accurate filing and record-keeping
• Manage RMD process
• Deliver superior client service – troubleshoot problems and serve as liaison between Advisor and Client
• Maintain client records in database, including documentation of phone calls and conversations
• Communicate with the broker/dealer, custodian, and product firm contacts
• Ad-hoc project assistance for advisors and others
• Other duties as assigned

Qualifications

• 5+ years of progressive client service and operations experience within wealth management required
• High school diploma required
• SIE, Series 7 and 63/65/66 securities license(s) would be a plus
• Excellent follow-through and communication regarding status of open items
• Client-first attitude: ability to interact with clients professionally and respond to clients in a timely manner
• Editing and writing skills to initiate, compose, format, proofread and carefully edit various professional business documents and correspondence
• Strong time management skills; ability to prioritize and coordinate multiple work assignments and deadlines efficiently despite frequent interruptions
• Excellent interpersonal and communication skills; ability to communicate in a pleasant, tactful and effective manner (both orally and in writing), and to handle difficult, sensitive issues
• Ability to analyze situations, define problems and/or objectives, identify relevant factors, formulate logical conclusions and suggest alternative solutions
• Able to work independently with limited direct supervision
• CRM Software experience required; Salesforce knowledge highly preferred
• Industry-specific software/platform experience preferred; LPL, Schwab
• Advanced Technology Skills and use of MS Office (Outlook, Word, PowerPoint, Excel, Teams)