Heartwood Planning Group

RESPONSIBILITES
• Prepares and processes all paperwork needed for the opening of investment accounts
• Monitors, processes, and follows up on asset transfers, and on initial and subsequent funding of accounts
• Completes investment account maintenance including but not limited to:
– Making adjustments to banking information, name, address, etc.
– Processing 529 distributions, account rollovers, rebalancing, submitting and tracking the transfer of trades, ACH updates, etc.
• Accurately tracks the status of each investment case in the firm’s tracking system
• Identifies the need for transaction analysis forms and sends appropriate forms to clients
• Runs investment proposals for account opening
• Works with the Home Office to answer questions or facilitate follow-ups for clients
• Responds to account inquiries from the Home Office
• Retrieves tax documents for clients
• E-deposits client checks received
• Occasionally answers client questions about the investment application process
• Serves as a backup for other duties within the Client Service Department as needed

TEAM DUTIES
• Actively participates in team meetings to positively impact the culture, productivity, and expertise of the team
• Maintains and ensures compliance requirements are met in all actions taken throughout the role
• Cross-trains with the Insurance department for backup purposes
• Completes misc. special projects for the team as needed
• Assisting with incoming phone call to the firm

QUALIFICATIONS
Required
• Series 7 License (Can be series 6&63 but the 7 will be required within 3 months.)
• Bachelor’s degree in finance, business, or related field
• 3+ years of experience in the Financial Services Industry
• Strong attention to detail
• Willingness to learn
• Ability to embrace change and work in a fast-paced environment
• Ability to manage a time-sensitive workload, prioritize, and meet deadlines
• Displays clear communication skills
• Ability to be flexible and adaptable to changes in client situations and the team environment

Highly Preferred
• Experience in Investment Operations and/or Investment Administration