Summary:
Ranked one of the top 100 top RIAs by Barron’s & Forbes and headquartered in Parsippany, New Jersey with several regional offices across the country, Summit Financial LLC is a ~$10 billion independent advisory firm that has been providing comprehensive financial planning and wealth management services to high-net-worth individuals for over 40 years. We are looking for an Investment Coordinator to join our growing team. The role is responsible for reviewing and assigning new accounts and maintenance requests, timely research of any questions or issues, and communicating extensively with advisors and their teams, as well as our internal operations teams.
Role and Responsibilities:
- Assist representatives and assistants with technical issues involving accounts
- Leads by example to achieve overall team goals
- Coordinates with the Senior Investment Specialist providing daily operational assistance
- Review the opening of new accounts and maintenance of existing accounts
- Review all incoming work for quality control prior to supervisory sign off
- Maintain our internal workflow system to manage daily work
- Problem solve various account issues that involve account maintenance or money movement
- Research of account inquires/issues for representatives and assistants
- Produce reports through the custodian’s platforms when requested
- Delegate daily workflow to other team members
- Mutual Fund trading review
- Police Fidelity E-Sign & Summit DocuSign when received
- Review Fidelity E-Sign paperwork as well as Summit DocuSign paperwork to ensure account opening approval
- Process transactions accurately and efficiently to build confidence and trust
- Serve as liaison for reps and assistants with all custodians including, Fidelity Investments, Charles Schwab and Pershing
- Understand and process all functions required by reps and assistants throughout the life cycle of opening accounts, maintaining accounts, and closing accounts
- Provide training to various reps and assistants when required which involves initial processing of new accounts and their existing functions
- Provide initial training on all Summit paperwork requirements and mechanics linked to account openings and various account maintenance
- Perform checks and balances at end of day to ensure all is in good order and nothing is left outstanding
Requirements:
- 2-3 years related work experience
Preferred Qualifications:
- Bachelor’s degree preferred
- Strong Microsoft Office skills including Outlook
- Ability to prioritize and balance demand
- Strong written and oral communication skills
- Ability to multi-task in a fast-paced environment
- Reliable and detail-oriented
- Experience with Wealthscape and DocuSign a plus