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 time. education & experience : four-year bachelor's degree in finance, accounting, or ...