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.