Job Description

The Operations Associate plays a critical role in the back-office functioning of our firm. With responsibility for the day-to-day operational duties of the firm, the Operations Associate helps keep the office running smoothly and ensures that all client paperwork and processing is handled in a timely, accurate, and professional manner.

Responsibilities & Activities
• Processes new accounts.
• Processes account transfers.
• Processes new contributions and redemptions.
• Processes beneficiary changes.
• Creates client meeting update books and reviews.
• Sends update meeting letters.
• Coordinates state, SEC, FINRA, and insurance licensing.
• Handles miscellaneous operational activities.
• Develops and maintains written systems of all activities.
• Performs other duties as assigned.

Knowledge, Skills, & Abilities
• Requires:
• Excellent attitude and an extraordinary client service orientation
• A strong focus on getting the details right
• Excellent organizational and time management skills
• An ability to handle multiple tasks within tight time frames
• Proficiency with Microsoft Office Suite
• Strong analytical and research skills
• Strong verbal, written, presentation, and interpersonal communication skills
• BA/B S degree in finance-related field from an accredited institution

• Helpful:
• Interest in and knowledge of financial markets and investment securities
• Previous securities industry experience
• FINRA Series 7, 63, (and 65 if needed for your Registered Investment Advisor)
• Attendance is an essential function.
• Salary is commensurate with experience.

Please send your resume to for immediate consideration.


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Dunwoody GA
Date Posted