Operations Associate
WHO WE ARE:
We are a growing wealth management team seeking a Operations Associate to assist us in our mission of helping clients achieve their financial goals. This is your chance to play a key role in the future success of our fast-growing organization!
Become a member of one of the most respected retirement planning teams in the Middle Tennessee area. Our team has consistently been recognized at Gold status with our Broker Dealer for our proficiency in investment advice.
We are known for sophisticated professionalism and a hard-working team who takes great responsibility for the success of our client and best in class, intuitive service. We will do this for clients by attending to the details of their financial lives as it moves forward so they might have financial peace of mind. Not forsaking glorification of our Lord or the overall betterment of our families, we will tirelessly pursue the addition of more assets to manage and more clients for which we may provide a higher expectation that their vision of financial success comes to fruition.
Our mission is to provide retirement planning and investment advice to help clients pursue the outcomes needed for their goals. We ensure our clients walk out of our office with greater clarity on how they will reach their goals in a written, tangible form. Our clients’ peace of mind regarding their retirement and investments is a priority from their first interaction with us until their estate and legacy passes to the next generation. In a time, sensitive world our objective is to take responsibility for items so clients can focus on other priorities. To garner clients’ trust we act in an ethical manner that pursues glorification of the God we serve. If you have a relentless, burning desire to succeed and share our vision, then we would love to hear from you!
WHO WE WANT:
The Operations Associate plays a crucial role in the smooth functioning of the office. With overall responsibility for day-to-day operations, the Operations Associate must be able to work effectively with other staff members, clients, and the Wealth Advisor(s).
WHAT TO EXPECT
- Oversee the day-to-day business operations of the firm to align with firm’s strategy and goals.
- Manage the implementation and progress of firm strategic priorities.
- Directly manage client servicing and work with operational associates, including the training and development of those individuals.
- Processes new accounts.
- Processes account transfers, contributions and redemptions.
- Creates client meeting update books and reviews.
- Coordinates state, SEC, and FINRA licensing.
- Develops and maintains written systems of all activities.
- Oversee trading for the team:
- Ensure timely execution of trades and account rebalancing.
- Review account transaction confirmations for accuracy.
- Ensure seamless delivery of all aspects of the client experience, including new client onboarding, client service, appreciation, events, and feedback.
- Oversee efficient and accurate creation and processing of new account forms.
- Manage client service process to ensure timely and accurate responses.
- Assist with the execution of client events, including appreciation events.
- Provide concierge service for top-tier clients in person, in writing, and over the phone.
- Assist in implementation of the firm’s compliance program.
- Maintain compliance policies and documentation.
- Oversee the compliance and advertising approval process.
WHAT YOU NEED:
Requires:
- A bachelor’s degree or equivalent experience.
- Strong communication and interpersonal skills.
- Excellent organizational and time management skills.
- Excellent attitude and an extraordinary client service orientation.
- Ability to handle multiple tasks and operate within tight deadlines.
- Proficiency with Microsoft Office Suite.
- Attendance is an essential function.
- Salary is commensurate with experience.
Helpful:
- Interest in and knowledge of financial markets and investment securities.
- Previous securities industry experience.
- FINRA Series 7, 66, (or 63 and 65).
In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, a potential for career growth, and a great working environment. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, motivational and focused on healthy living. For more information about our company, please visit our website www.williamcparker.com or www.equitable.com .
If you’re interested in this opportunity, please send your resume and letter of interest to Cindy Key at Cynthia.key@equitable.com .
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.