Financial Planning Operations Associate

Occident Wealth Management; Richmond (VA); On-site; USD 52,000 - 76,000; Full time

Job summary

Occident Wealth Management in Richmond, VA seeks an Investment & Insurance Operations Associate to support day-to-day execution across investment and insurance operations. You will manage new business, handle paperwork, and ensure accurate processing of client transactions.

With opportunities to coordinate with carriers, custodians, and internal teams, you’ll help maintain CRM records, identify bottlenecks, and support advisors with materials and readiness.

Qualifications

• Bachelor’s degree or equivalent in finance, business, or related field.
• Experience in financial services, insurance, or investment operations preferred.
• VA Life, Accident & Health license preferred (or willingness to obtain).
• SIE, Series 6/63 or 7 preferred (or willingness to obtain).

Responsibilities

• Manage new business for investment and insurance accounts from submission through completion.
• Prepare and submit account paperwork with a high level of accuracy.
• Process account openings, transfers, rollovers, and client transactions.
• Track cases across custodians and internal systems to ensure timely execution.
• Process applications through underwriting to policy delivery.
• Coordinate medical exams and gather requirements.
• Monitor case progress and follow up proactively.
• Prepare policies for delivery and support ongoing servicing.

Skills

GRIT

Accountability

Learning Agility

Proactive Approach

Education

Bachelor’s degree or equivalent

Licenses: SIE/Series 6/63/7 (preferred)

Job description

Investment & Insurance Operations Associate

Occident Wealth Management is a fast-growing, client-focused financial services firm dedicated to delivering exceptional advice, service, and results. We specialize in comprehensive financial planning for collegiate and professional athletes (i.e. NFL) and coaches, helping them build structure, clarity, and long-term wealth.

We are seeking a highly organized and proactive Investment & Insurance Operations Associate to support day-to-day execution across both investment and insurance operations. This role plays a key part in ensuring all client cases are handled with precision, efficiency, and a high standard of excellence.

This job is a challenge. If you thrive in a fast-paced environment, take ownership of your work, and want to be part of a mission-driven team serving elite clients, this role could be for you.

Desifred Qualities & Traits:

• G.R.I.T. (Growth, Resilience, Initiative, Teamwork): Brings a strong work ethic, embraces challenges, adapts quickly, and collaborates effectively in a team environment


• Accountability: Takes ownership of outcomes, consistently follows through on commitments, and maintains a high standard of performance


• Learning Agility: Demonstrates a desire to continuously learn, build product knowledge, and develop a strong understanding of the sales cycle


• Proactive Approach: Anticipates needs, identifies opportunities for improvement, and takes initiative to drive results without constant direction

Key Responsibilities

Investment & Insurance Operations

• Manage new business for investment and insurance accounts from submission through completion


• Prepare and submit account paperwork with a high level of accuracy


• Process account openings, transfers, rollovers, and client transactions (contributions, withdrawals, redemptions)


• Track cases across custodians and internal systems to ensure timely execution

Insurance Case Management

• Process applications through underwriting to policy delivery


• Coordinate medical exams and gather requirements


• Monitor case progress and follow up proactively


• Prepare policies for delivery and support ongoing servicing (updates, loans, payments, beneficiary changes)

Workflow & Operations

• Own the flow of incoming business—ensuring nothing falls through the cracks


• Maintain and update CRM, DSR, and internal tracking systems


• Identify delays, resolve bottlenecks, and escalate issues when needed


• Coordinate with carriers, custodians, and internal team members

Client & Team Support

• Serve as a key point of contact for operational and service-related client requests


• Communicate clearly and professionally with clients, advisors, and partners


• Support advisors by preparing materials and ensuring operational readiness

Process & Systems

• Maintain clean, accurate CRM records


• Identify inefficiencies in workflows, and contribute to process improvements


• Assist in building scalable systems to support the firm's continued growth

Qualifications

• Bachelor’s degree or equivalent experience in finance, business, or related field


• Experience in financial services, insurance, or investment operations preferred


• VA Life, Accident & Health license preferred (or willingness to obtain)


• SIE, Series 6/63 or 7 preferred (or willingness to obtain)


• Strong attention to detail and organizational skills


• Ability to manage multiple priorities in a fast-paced environment


• Excellent communication and problem-solving abilities


• Proficiency with CRM systems and operational platforms

Compensation & Location

Full-time, salaried position based in our Richmond, VA office. Compensation is competitive and commensurate with experience, with benefits included