Financial Operations Coordinator

Financial Operations Coordinator oversees the operational elements of servicing client accounts. We're looking for a sharp degreed professional with 5 years' experience investments, financial planning, and/or insurance service industry. We also require Series 6 and 63 licenses. If you have high attention to detail and excellent written and verbal communication skills, please submit your resume for immediate consideration. Salary range is $45-60K depending on experience - plus excellent benefits package. Please submit resume for immediate consideration.

Client Review and Plan Management:

  • Prepare reports, PowerPoint with client specific data and provide to Consultant for review month in advance of review due date. If review is a scheduled meeting, coordinate with Consultant and Service Coordinator to provide any additional information or reports needed for preparation. If review is not scheduled, prepare email delivery of completed review package and associated correspondence.

  • Conduct a fee audit quarterly; prepare paperwork necessary for any fee changes in review packets for that quarter.

  • Create financial planning reports from client provided data for new clients for Consultant review.

  • Input updated financial data from client or from records into financial planning software and run reports for Consultant review as part of the review preparation.

Client Service:

  • Process and track account withdrawals and transfers.

  • Notify clients of need for Required Minimum Distributions (RMDs) and process RMD’s annually by Dec 1. Maintain log of RMD’s.

  • Process all completed account paperwork, monitor asset transfers and update tracking log daily.

  • Process and track client data changes.

Daily Account Management:

  • Assist with preparation of required paperwork for all service related items. Maintain Work In Progress log and keep activities current. This will include new account forms, service forms, transfers, beneficiary changes, withdrawals, contributions, qualified account documentation, etc.

  • Monitor Debit and Cash on Hand Reports and maintain sufficient cash for fees and withdrawals based on Investment Committee Policy. Upon identification of any necessary trades to provide adequate cash, submit to Consultant(s) for approval.

  • Maintain and update client data, adding and deleting clients, accounts and grouping households.

Investment Management:

  • Upon authorization from Consultant(s), process trades; maintain trade log, check log, order blotter, executed trades. Update client electronic records with trade notes.

  • Manage automatic rebalancing process.

  • Support Investment Committee by providing required reports, taking minutes at meetings, and documenting and completing action items.

Compliance Management:

  • Maintain correspondence files as outlined in Commonwealth Compliance Manual. Maintain Books & Records data according to Commonwealth guidelines. Manage requirements to obtain documents and beneficiary information.

  • Collect and submit correspondence and check logs for OSJ review.

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