(R-313) | INVESTMENT OPERATIONS

The investment operations person has responsibility for the efficient and effective operations. this includes the managing of client relations, investment operations and general office responsibilities. essential duties & responsibilities : client responsibilities - record conversations and requests in smartoffice - process distribution requests investment operations responsibilities - maintain client records and notes in smartoffice. - open new investment accounts/schedule client meetings - utilize advice pay - enter contributions in wealthscape/assetmark and other investment platforms. - request trading on new investments - maintain and report all investment activity (weekly) - set up bank links to investment accounts. - set up monthly periodic investment plans (pip) for clients. - submit “securities-based line of credit” (sbloc) applications. - assist with maryland 529 applications. - annually process required minimum distributions (rmd) office responsibilities - answer phone calls - greet public that comes into the office. - schedule appointments - scan/fax/record all documents. - sort mail - submit invoices outside of advice pay - monitor investment licensure for staff by state of client. - submit correspondence and extensions to kestra financial for approval of staff written documents. - maintain all compliant requirements. - maintain office lobby and kitchen with supplies and ensure “client ready” appearance. - order/maintain all needed office equipment/furniture/supplies. - additional responsibilities may be assigned from time to ...