Director OF INVESTMENT OPERATIONS ROLE
General Responsibilities
The responsibilities of the Director of Investment Operations are to build out and be an advocate for efficient investment operations and wealth management at GFG Solutions. This position trains and oversees the investment operational activities, including work performed by representatives, their staff and office related to order processing, account set up and maintenance, check deposits, funds disbursements and service requests. This position plays a crucial role in designing portfolios and managing assets in a manner that meets clients’ unique needs. This requires daily monitoring and research on economic and investment trends.
Department management
· This role reports to the COO
· Report weekly to COO to provide status report on Investment Department
· Manage Investment Department team members, including initial and ongoing training, performance evaluations, quality assurance product accuracy, timely execution, and proper delegation of duties and responsibilities
· Engage with clients on investments strategies, products and recommendations
· Represent GFG in community and build effective relationships and networks
· Ensure client case tracking is maintained daily, oversee implementation of account set up, asset transfers, service requests, and ensure reporting to advisors is completed in timely fashion
· Participate in training advisors regarding investment related services
· Ensure implementation of firm compliance policies, including maintenance of client case files and performance and regulatory reporting
· Tracking Investment Department revenue goals and actuals
· Assist with Investments related commission payments to advisors as part of firm payroll process
· Create internal and client-facing market commentary
PORTFOLIO MANAGEMENT OVERSIGHT
· Oversight of the following:
o Monitor market performance daily and regularly report on market conditions and industry trends
o Prepare and modify investment/advisory proposals for clients, providing recommendations on individual securities, investment products, and overall strategies
o Develop and oversee client investment strategy, including asset allocation, portfolio construction, and risk management
o Complete all trade requests inside of client accounts, including reallocations and rebalancing, cash raises, and allocation changes
o Correspond and meet with clients regarding portfolio management, explaining advisory products and performance, discussing tax consequences and advisory fees, and answering client inquiries regarding their assets and any services issues
o Generate and submit monthly management fees and corresponding fee file to custodian of record
o Create internal and client-facing market commentary
Qualifications
· Required: Series 65 or Series 66
· Three to five years of securities industry and portfolio management experience required
· Familiarity with operations and supervisory requirements associated with general securities
· Leadership skills
· Experience communicating investment advice to clients
· Degree in Finance preferred
· Strong organizational and time management skills with ability to set priorities and meet deadlines
· Ability to build rapport and exercise resourcefulness and understanding
· Excellent oral and written communication skills with the ability to collaborate effectively with others
· Proficient computer skills
· Detail oriented and accurate
· Excellent analytical and problem-solving skills
· Experience using Y-CHARTS and Orion preferred
Company DescriptionWe help business owners align their business decisions with their financial goals.Company DescriptionWe help business owners align their business decisions with their financial goals. Read LessSummary:
The Service Advisor plays a pivotal role in our client engagement by implementing our services, providing a seamless experience with the company, and ensuring client retention. This position is paired with a Lead Financial Advisor who generates new client relationships and then brings the Service Advisor in to execute the recommended consulting game plan. The Service Advisor is instrumental in maintaining strong client relationships, addressing concerns promptly, ensuring clients receive personalized and effective guidance, and facilitating a smooth journey throughout the consulting process.
Key Responsibilities:
· Responsible to attend Lead Advisor and client meetings and take thorough meeting notes, delivering the organized notes to the support team afterwards
· Develop an action plan after each client meeting, with clear action steps communicated to the client and clear delegation to the team for implementation
· Create and format the appropriate deliverables for client based on GFG’s engagement and services in a timely manner
· Work closely with clients to gather vital documents and information to fulfill services
· Work with clients’ professional partners to coordinate and implement consulting recommendations
· Partner and coordinate with Lead Advisor to communicate meeting preparation needs from the support team and ensure completion prior to meetings
· Track client engagements in company software to ensure clients are scheduled for appropriate meeting cadence, and all services are fulfilled within proper timeline, including annual investment portfolio reviews
· Attend internal team meetings, including weekly client case review meeting, weekly trainings with sales department, and weekly planning department meetings
Qualifications:
· 2-3 year’s experience in financial services
· Series 65 license or Series 66 license and 2-15 Health & Life Agent License – must pass within 90-days of contract
· Experience communicating directly with clientele
· Degree in finance preferred
· Strong organizational and time management skills with ability to set priorities and meet deadlines
· Ability to build rapport and exercise resourcefulness and understanding
· Excellent oral and written communication skills with the ability to collaborate effectively with others
· Proficient computer skills
Company DescriptionWe help business owners align their business decisions with their financial goals.Company DescriptionWe help business owners align their business decisions with their financial goals. Read Less