Investment Operations

The Investment Operations person has responsibility for the efficient and effective operations. This includes the managing of client relations, investment operations and general office responsibilities.

Essential Duties & Responsibilities:

Client Responsibilities


+ Record conversations and requests in SmartOffice

+ Process distribution requests


Investment Operations Responsibilities


+ Maintain client records and notes in SmartOffice.

+ Open new investment accounts/schedule client meetings

+ Utilize Advice Pay

+ Enter contributions in Wealthscape/Assetmark and other investment platforms.

+ Request trading on new investments

+ Maintain and report all investment activity (weekly)

+ Set up bank links to investment accounts.

+ Set up monthly Periodic Investment Plans (PIP) for clients.

+ Submit “Securities-Based Line of Credit” (SBLOC) applications.