Operations Associate

Denver Wealth Management, Inc.; Greenwood Village (CO); Sur place; USD 65 000 - 80 000; Plein temps

Avantages offerts par ce poste

Competitive compensation

Benefits package

Retirement plan match

Paid vacation & sick days

Collaborative team environment

Growth opportunities

Résumé du poste

Denver Wealth Management, Inc. is seeking a highly driven Operations Associate to support advisors and clients by managing day-to-day account operations and assisting with trading execution.

This role is integral to delivering an exceptional, high-touch client experience by managing account servicing, coordinating operational processes, and implementing trading strategies. The Operations Associate will work in-office at our Denver, CO location, collaborating with a multi-generational team to

Responsabilités

• Serve as a primary operational contact for advisors and clients
• Communicate with advisors and clients providing clarity and status of requests
• Provide timely updates throughout operational processes
• Deliver an exceptional client service experience aligned with the firm’s client-first philosophy
• Take ownership of actions necessary to resolve inquiries promptly
• Process account activities such as new accounts, move money, transfers, maintenance requests
• Submit and track brokerage instructions on behalf of advisors
• Monitor and resolve Not In Good Order items
• Maintain accurate documentation and records within CRM systems
• Assist with raising cash, rebalancing, investing, and portfolio trading for clients’ accounts
• Support advisors with operational components of portfolio management and trading workflows
• Ensure trade-related tasks and processes are completed and documented accurately
• Research and resolve complex account cases
• Assist with information and documentation for new accounts, transfers and complex activities
• Proactive reach out to clients and advisors on time sensitive activities such as RMDs, distributions, year-end tax deadlines and tax statements
• Assist the advisor in preparing upcoming client meetings
• Educate advisors and clients on technology to streamline processes
• Exercising core relationship-building skills
• Drive customer experience to high levels of satisfaction by adhering to corporate values
• Provide occasional recaps to advisors summarizing work completed and outstanding
• Communicate with internal departments to meet client expectations for timely service delivery

Description du poste

Denver Wealth Management is seeking a highly driven Operations Associate to support advisors and clients by managing day-to-day account operations and assisting with trading execution. This role is integral to delivering an exceptional, high-touch client experience by managing account servicing, coordinating operational processes, and implementing trading strategies.

The Operations Associate supports and maintains the operational foundation of the firm by ensuring account activities are processed accurately and efficiently. By taking ownership of operational responsibilities, this role enables advisors to focus on building client relationships and delivering world-class financial advice and value to clients.

At Denver Wealth Management, we understand that each individual, family, and business we serve as their own goals, dreams, and complex wealth needs. Our experienced multi-generational teams strives to deliver comprehensive financial planning and wealth management through a genuine and caring approach to prepare for your financial future.

We are a growing firm that values professionalism, initiative, and teamwork. Our office environment is friendly, collaborative, and fast-paced. This position is intended to be in-office at our location in Denver, CO (Denver Tech Center).

Primary Responsibilities (70%)

Client and Advisor Support

• Serve as a primary operational contact for advisors and clients
• Communicate directly with advisors and clients providing clarity and status of requests
• Provide timely updates throughout operational processes
• Deliver an exceptional client service experience aligned with the firm’s client-first philosophy
• Take ownership of the actions necessary to resolve inquiries in a timely manner

Account Operations

• Process account activities such as new accounts, move money, transfers, maintenance requests, and other operational related tasks.
• Submit and track brokerage instructions on behalf of advisors
• Monitor and resolve NIGO (Not In Good Order) items
• Maintain accurate documentation and records within CRM systems

Trading & Operational Support

• Assist with raising cash, rebalancing, investing, and portfolio trading for clients’ accounts
• Support advisors with operational components of portfolio management and trading workflows
• Ensure trade-related tasks and operational processes are completed and documented accuratelyResearch and resolve complex account cases
• Assist with information and documentation requirements for new accounts, transfers and complex (non-investment related) activities

Additional Responsibilities (20%)

• Proactive reach out to clients and advisors on time sensitive activities such as RMDs, periodic distributions, year-end tax deadlines and tax related statements.
• Assist the advisor in the preparation of upcoming client meetings (i.e., paperwork, various account specific activities, other requirements, etc.)
• Educate advisors and clients on the use of technology available to streamline processes
• Exercising core skills required to form meaningful relationships
• Drive customer experience to high levels of satisfaction by adhering to our corporate values
• Provide occasional recaps to the advisor summarizing work completed and outstanding
• Communicate with internal departments to ensure we meet our clients’ expectations for timely service delivery

Qualifications

Must be passionately committed to serving and caring for other people. Must be able to handle a steady workload, multiple projects simultaneously, and operate successfully under deadlines. Must be able to follow directions while knowing when to take the ball and run. Must have experience navigating internal CRM systems and other financial services software packages. Other Microsoft Office software experience is required.

Required Qualifications

• Be an advocate for Denver Wealth Management, Inc.
• 1–3+ years of financial services operations experience
• Strong attention to detail and organizational skills
• Ability to analyze and research information
• Ability to manage multiple projects and deadlines
• Demonstrates critical thinking skills and ability to explain complex information in a clear and concise manner
• Highly motivated, team player, adaptable, and coachable
• Outstanding interpersonal skills with the ability to build and foster relationships
• Professional communication and client service skills
• Experience with CRM and financial service technology platforms
• Advance Proficiency with Microsoft Office

Preferred Qualifications

• Experience with LPL home office and/or ClientWorks
• FINRA Series 7 license highly valued (or willingness to obtain)
• FINRA Series 63 & 65 licenses (or FINRA 66)
• Experience with RMDs, transfers, move monies, trading and account servicing
• Experience with Redtail CRM preferred

What you'll get:

We believe in supporting our team member both professionally and personally.

Compensation

• Compensation range is $65,000 - $80,000(depending on experience and licenses)
• Competitive Compensation and Benefits package
• Financial Health: Retirement Plan Match and Personalized advice
• Work/Life Balance: Paid Vacation & Sick days
• Collaborative team environment
• Opportunity for professional growth within a growing wealth management firm