Operations Associate (Financial Industry)

Prestige Worldwide Enterprises LLC•St. Cloud, MN

6d•Hybrid

About The Position

Stone Arch Advisory Group is searching for an Operations Associate to join their Award Winning Team. In this role, you will represent Stone Arch and play a key role in client service, investment & insurance operations, and various project management activities. The main objective is to implement financial planning recommendations given to clients and ensure consistent internal and external support. This individual will work closely with an experienced team and report to the Operations Manager and Executive Team.

Requirements

AAS or BA/BS
MN State Life, Accident & Health licensed – or the ability to obtain in 3 months
Series 6 (or Series 7) and 63 – or the ability to obtain in 3-6 months
2+ years’ experience in the financial services industry, or 1+ years of Northwestern Mutual experience
Exceptional organizational skills and attention to detail
Excellent oral and written communication skills
High degree of initiative, autonomy, and urgency
Ability to work in a fast-paced environment
Proficient in MS Office/CRM (Excel, Word, PowerPoint)
Professional and polished demeanor
Demonstrated ability to maintain effective working relationships

Nice To Haves

Entrepreneurial builder, collaborative colleague, and practical problem-solver

Responsibilities

Assist clients with service on existing insurance and investment account maintenance
Completes new life insurance applications, schedules paramedical exams, and manages insurance underwriting and policy delivery processes
Initiates onboarding of new investment accounts and funding
Assists with Asset movement – deposits, withdrawals, journals/transfers, rollovers, Roth conversions
Compliance monitoring and completing compliance requirements
Cash monitoring for distribution accounts’
Coordination of accounts consolidation – transfers, rollovers
Brokerage account trading
Monitors investment account funding and logistics
Scans and maintains compliant client files in the E-file system
Documents client conversations in case notes and maintains CRM as needed
Stay up to date and informed on technology changes, attending webinars or classes as needed to stay current on correct processes and procedures when conducting business daily
Maintains own personal CE credits and certification, knowing when your licenses expire
Sustains a positive, enthusiastic, and professional office atmosphere and environment
Maintains a sense of autonomy, and urgency, and takes initiative
Participates and contributes in team/firmwide meetings