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Clarke Financial Management · 1 day ago

Director of Investment Operations

Virginia Beach, VA

Full-time

Onsite

Entry Level

$50K/yr - $75K/yr

1+ years exp

Clarke Financial Management is seeking an Investment Operations Associate to join their office in Virginia Beach, VA. The role involves collaborating with the Investment Operations Department to deliver wealth management and investment advisory services, while managing client interactions and onboarding processes.

Financial ServicesRetirementRisk Management

Responsibilities

Prepare and review investment account applications

Communication with department leads to ensure efficiency when establishing new client relationships

Accurately describe value proposition of CFM’s investment philosophy

Perform detailed data collection and use the client onboarding process including risk tolerance questionnaire

Facilitate rollover and transfer calls with clients

Gather and update client information in preparation of investment and service items

Conduct service meetings, i.e., DocuSign walkthrough, signing forms, etc

Manage RMD client distributions

Process bank information, address, and name changes

Understand regulations as it pertains to investment account set-up

Understand tax requirements as it pertains to contributions and taxation of investment accounts (IRAs, Roth IRAs, non-qualified accounts, 529s, employer sponsored retirement plans, UTMAs, etc.)

Identify opportunities during client interactions

Statement review calls

Collaborate, mentor and manage other staff, assist in training of other team members

Qualification

Wealth management experienceFINRA Series 7 licenseFINRA Series 66 licenseFinancial services experienceClient relationship managementAttention to detailCommunication skillsTeam collaboration