Investment/Insurance Operations Associate

Our firm is a dynamic, boutique wealth management firm with a mission to educate the community with all things financial and empower others to live their best lives. They design a personalized plan and help clients execute it by safely navigating their financial journey and having meaningful adventures along the way. The firm provides comprehensive, fee-based financial planning, fee-based investment advisory solutions, education funding strategies, holistic wealth management, retirement planning and risk management.

· Proactive communication with the client throughout the implementation process

· Facilitate and assist in the opening of investment accounts, including data gathering and paper/digital signature requests

· Monitor trades and verify funds

· Process proposal amendments and monitor alerts

· Proactively manage asset movement

· Implement initial and subsequent asset allocation trades

· Prepare advisory proposals

· Prepare necessary paperwork to implement recommendations

· Run and analyze performance reports in Envestnet, Morningstar, NMCIR etc.

· Track potential rollover opportunities

· Handle incoming service requests from clients regarding their accounts

· Handle complex insurance client service issues and process incoming client service requests including but not limited to: processing address changes, bank change information, and account inquiries

· Manage client correspondence, notes, and files, and maintain compliant client records

· Cross-training with department roles

· Ensure NMIS and NMWMC compliance requirements are implemented and followed

Minimum Requirements

· Bachelor’s degree

· Minimum of 1-3 years of financial planning experience

· Series 7, SIE preferred or willing to complete within 12 months

· Illinois Life & Health insurance license obtained within 30 days of start date

· History of clean compliance record

Performance Skills

· Excellent communication and problem-solving skills

· Ability to work wit...