Investment Advisory Operations Assistant
Investment Advisory Operations Assistant
Posted on :
28-08-2025
Employer Active
1 Vacancy
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Job Description
Primary Responsibilities:
- Review new account paperwork daily.
- Monitor and communicate to resolve issues and alerts from Schwab
- Answer incoming calls on the IA Service Line and emails to the IA Service Group.
- Process client checks for deposit at Schwab or Pershing.
- Assist Financial Advisors and Administrative Assistants with Cost Basis maintenance.
- Process money movement requests for Schwab and Pershing which include ACH wires and journal.
- Monitor and track daily tasks for accuracy and completion.
- Data entry of IA & Brokerage activity into database.
- Assist with onboarding new clients using DocuSign system.
- Scan paperwork for submission to custodians and for processing service requests.
- Update MAPS portfolios and run reports in Morningstar.
- Build trusted collaborative relationships with our custodians operations teams to execute cashiering deposits journaling withdrawals and other transactions properly and accurately.
- Function as a liaise to our Financial Advisors and follows up on the status of outstanding issues and requirements from our custodians.
- Develop expertise in our firms technology and software tools and platform.
Essential Characteristics:
- Must have a high level of interpersonal skills to handle sensitive and confidential situations.
- Enjoy collaborating and being a part of a team that puts clients first.
- This position requires demonstrated poise tact patience and diplomacy.
- Must be able to interact and communicate with individuals at all levels of the organization.
- Work requires attention to detail and organization in such things as composing typing and proofreading materials establishing priorities and meeting deadlines.
- Eager to learn about the industry and our firm and enjoy working in a fast-paced environment with demonstrated ability to juggle multiple competing tasks and demands.
- Tech savvy with the proficiency to quickly learn new technology tools platforms and software.
- Open to feedback and coaching.
Education Training and Experience:
- College degree preferred; must have high school diploma.
- One or more years of experience in an office environment.
Registrations Required:
Renaissance pays for the exam fees for required registrations. The company also allows for paid study time off for taking the classes offered to help pass the tests.
- SIE
- Series 7
- Series 66
Computer Equipment & Software:
- Microsoft Office Products
- Databases
- Internet
Working Conditions:
- This position requires working in an office environment.
- This position usually works a standard workweek.
- This position may require you to work occasional overtime hours.
- This position may require occasional travel.
- We are committed to providing an accessible work environment. If you need accommodations during the application or employment process please let us know.
Benefits and Incentives:
- Employer Paid Medical Insurance.
- Employer provided 401k contribution (up to 10% based on team member eligible compensation annually).
- Potential for Annual Variable Compensation and Bonuses.
- Employer Licensing Coverage and Growth Opportunities.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
Key Skills
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