Investment Operations Associate

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Job description

Employment Opportunity

Scott Sparks

1873 South Bellaire Street Address 2: Suite 1600 City & State: Denver, CO Zip: 80222

Investment Operations Associate

Sparks Financial is a full-service financial advisory practice specializing in wealth management, wealth accumulation, risk management, retirement planning, tax-efficient strategies, and estate planning. We have been recognized for excellence within our industry and have earned numerous designations and coveted industry credentials across the financial services industry. We are proud of what we have built and the families we have helped over the last thirty years - "Helping people Define, Build and Enjoy prosperous lives" is our passion and our "WHY"!!

What you will bring to the team: Accountability for the internal investment account opening process.

Broadly speaking, you are resourceful, a problem solver, highly responsive to client needs, collaborative, intelligent, ambitious, and an experienced professional with an ownership mentality.

Things you will do

• Correspond with team members to complete new account documentation and using an eSignature process, obtain all necessary signatures to establish accounts

• Submit and track pending account through approval process

• Correspond with clients on an as needed basis to provide them updates on where their account is in the approval process

• Collaborate with advisory teams to complete money movement forms and establish movement instructions

• Trading accounts to firm models including new funds and rebalancing

• Assisting in tax loss harvesting and other strategic investment changes * Input client information into our Client Relationship Management (CRM) database

Qualifications:

• Series 7 Licensing

• 3+ years of investment operations experience

• Highly resourceful when leveraging expertise of Home Office for complex situations

• Ability to document work processes and streamline tasks for efficiency

• Efficient with Microsoft Office Suite, especially Word, Outlook, Excel & Adobe Acrobat

• Comfortable managing, archiving, and moving electronic documents

• Ability to learn new applications and software

• Background of investment compliance and a history of exceeding standard criteria

• Focused on gathering and maintaining complete client records

Benefits for full time Team Members Robust benefits package available including medical insurance, vacation, professional development assistance, disability insurance, long term care insurance, and retirement contributions.

This is a full-time position with a base salary of $60K-$80K with bonus potential tied to both team and individual performance. Sparks Financial Northwestern Mutual 1873 S. Bellaire Street, Suite 1600 Denver, CO 80222 Phone

Required years of experience: 0-3 4-6 6+ Required licensing/registrations/designations: Life & Health CLU Series 6 ChFC Series 7 CLTC Series 63 CFP

Job Type: Full-time

Pay: Up to $60,000.00 per year

Schedule:

• 8 hour shift

Education:

• Bachelor's (Preferred)

Work Location:

• One location

Work Remotely:

• No