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.