ROLE:

The Director of Investment Services will oversee the investment activities of a financial practice and will be responsible for developing and implementing investment strategies, managing portfolios, and ensuring compliance with regulations and ethical standards. This Director will also be managing the onboarding process of clients, which encompasses the completion of all tasks related to opening, funding, and investing accounts on the Brokerage, Advisory, or Variable annuity platforms. The Director exhibits strong communication skills (both written & oral) to maintain and strengthen the client relationship by providing operational support and creating space to focus on new client acquisition and financial planning.

RESPONSIBILITIES:

Managing Workflow:

• Completing work orders (paperwork, proposals, etc.) & ensuring accuracy in preparation for client delivery
• Maintaining organizational skills to adapt and prioritize workflow daily/weekly

Tracking & Monitoring:

• Maintain clear & up-to-date records of request & case details, as well as an audit trail of operational action

Operational Execution:

• Planning: Building PX plans
• CRM: Maintaining client records and utilizing tasks and opportunities
• Onboarding: Paperwork preparation, working with clients directly to obtain missing items and/or documents, obtaining client signatures (e-sign & ink sign), submitting accounts for approval and working with compliance
• Funding: Confirming & initiating all asset movements (cash deposits, transfers/rollovers, etc.)
• Investing: Confirming & executing on initial investments/trades (Brokerage & Advisory)

Correspondence:

• Clients: Servicing existing clients, following up & communicating with clients to ensure the onboarding process is as smooth and seamless as possible (reminders, confirmations, explanations), coordinating with client’s and contra firms to obtain information and/or verbal confirmation, exhibiting strong communication skills (both written & oral) to maintain and strengthen the client relationship

Advisor/Teams:

• Keeping advisors informed on any and all updates on each case in their queue.
• Providing department process & industry regulations updates as needed

EDUCATION:

• Bachelor's (Required)

LICENSE/CERTIFICATION:

• Series 7 investment license (required)
• CA Life/Accident/Health Insurance license (preferred)

COMPENSATION:

Pay: $70,000.00 - $85,000.00 per year plus bonus potential

BENEFITS:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

***This is a full-time, in-office position (with the possibility of working remotely one day a week.***