Operations Associate

Denver Wealth Management, Inc.•Greenwood Village, CO

12d•$65,000 - $80,000•Onsite

About The Position

Denver Wealth Management is seeking a highly driven Operations Associate to support advisors and clients by managing day-to-day account operations and assisting with trading execution. This role is integral to delivering an exceptional, high-touch client experience by managing account servicing, coordinating operational processes, and implementing trading strategies. The Operations Associate supports and maintains the operational foundation of the firm by ensuring account activities are processed accurately and efficiently. By taking ownership of operational responsibilities, this role enables advisors to focus on building client relationships and delivering world-class financial advice and value to clients. At Denver Wealth Management, we understand that each individual, family, and business we serve as their own goals, dreams, and complex wealth needs. Our experienced multi-generational teams strives to deliver comprehensive financial planning and wealth management through a genuine and caring approach to prepare for your financial future. We are a growing firm that values professionalism, initiative, and teamwork. Our office environment is friendly, collaborative, and fast-paced. This position is intended to be in-office at our location in Denver, CO (Denver Tech Center).

Requirements

Must be passionately committed to serving and caring for other people.
Must be able to handle a steady workload, multiple projects simultaneously, and operate successfully under deadlines.
Must be able to follow directions while knowing when to take the ball and run.
Must have experience navigating internal CRM systems and other financial services software packages.
Other Microsoft Office software experience is required.
Be an advocate for Denver Wealth Management, Inc.
1–3+ years of financial services operations experience
Strong attention to detail and organizational skills
Ability to analyze and research information
Ability to manage multiple projects and deadlines
Demonstrates critical thinking skills and ability to explain complex information in a clear and concise manner
Highly motivated, team player, adaptable, and coachable
Outstanding interpersonal skills with the ability to build and foster relationships
Professional communication and client service skills
Experience with CRM and financial service technology platforms
Advance Proficiency with Microsoft Office

Nice To Haves

Experience with LPL home office and/or ClientWorks
FINRA Series 7 license highly valued (or willingness to obtain)
FINRA Series 63 & 65 licenses (or FINRA 66)
Bachelor’s degree
Experience with RMDs, transfers, move monies, trading and account servicing
Experience with Redtail CRM preferred

Responsibilities

Serve as a primary operational contact for advisors and clients
Communicate directly with advisors and clients providing clarity and status of requests
Provide timely updates throughout operational processes
Deliver an exceptional client service experience aligned with the firm’s client-first philosophy
Take ownership of the actions necessary to resolve inquiries in a timely manner
Process account activities such as new accounts, move money, transfers, maintenance requests, and other operational related tasks.
Submit and track brokerage instructions on behalf of advisors
Monitor and resolve NIGO (Not In Good Order) items
Maintain accurate documentation and records within CRM systems
Assist with raising cash, rebalancing, investing, and portfolio trading for clients’ accounts
Support advisors with operational components of portfolio management and trading workflows
Ensure trade-related tasks and operational processes are completed and documented accurately
Research and resolve complex account cases
Assist with information and documentation requirements for new accounts, transfers and complex (non-investment related) activities
Proactive reach out to clients and advisors on time sensitive activities such as RMDs, periodic distributions, year-end tax deadlines and tax related statements.
Assist the advisor in the preparation of upcoming client meetings (i.e., paperwork, various account specific activities, other requirements, etc.)
Educate advisors and clients on the use of technology available to streamline processes
Exercising core skills required to form meaningful relationships
Drive customer experience to high levels of satisfaction by adhering to our corporate values
Provide occasional recaps to the advisor summarizing work completed and outstanding
Communicate with internal departments to ensure we meet our clients’ expectations for timely service delivery