Kestra Financial

Independent RIA and broker/dealer services platform

Investment Operations

Wealth Management & Financial AdvisoryConfirmed live in the last 24 hours

Full-timeColumbia, SC, USA$55k - $85kIn-person

About the Job

Requirements

A four-year bachelor's degree in finance, accounting, or another closely related field is required; 1.5 years of experience may substitute for one year of education.
Communicate and work effectively as a team member.
Pay close attention to detail, thoroughness, and numerical accuracy.
Follow directions and clearly articulate and write responses in English.
Use sound judgment when dealing with clients and staff members.
Work under pressure and meet mandatory deadlines as needed.
Use sound judgment to prioritize work.
Demonstrate ownership of job responsibilities.
Have knowledge of Microsoft Suite and be able to comprehend and use software common in the industry.
Work a routine 8-hour shift, with possible irregular hours based on shift demands.
Lift up to 15 pounds.
Have visual and auditory acuity sufficient to read company materials and view a monitor and telephone.
Voice and write communications with staff and clients in English.
Use normal office equipment, including a computer, telephone, printers, scanner, postage machine, and multiple computer monitors.

Responsibilities

Record conversations and requests in SmartOffice.
Process distribution requests.
Maintain client records and notes in SmartOffice.
Open new investment accounts and schedule client meetings.
Use 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 for clients.
Submit Securities-Based Line of Credit applications.
Assist with Maryland 529 applications.
Process Required Minimum Distributions annually.
Answer phone calls.
Greet members of the public who come into the office.
Schedule appointments.
Scan, fax, and record all documents.
Sort mail.
Submit invoices outside of Advice Pay.
Monitor staff investment licensure by client state.
Submit correspondence and extensions to Kestra Financial for approval of staff-written documents.
Maintain all compliance requirements.
Maintain office lobby and kitchen supplies and ensure a client-ready appearance.
Order and maintain needed office equipment, furniture, and supplies.
Perform additional responsibilities as assigned.

Investment Operations

Kestra Financial Independent Advisor · Columbia, United States · Full-time · Posted 2024-01-03

Salary: USD 55,000–85,000

Workplace: on_site

Department: Financial Services

Description

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.
Assist with Maryland 529 applications.
Annually process Required Minimum Distributions (RMD)

Office Responsibilities

Answers phone calls
Greet public that comes into the office.
Schedule Appointments
Scan/Fax/Record all documents.
Sort Mail
Submit invoices outside of Advice Pay
Monitor Investment licensure for staff by state of client.
Submit correspondence and extensions to Kestra Financial for approval of staff written documents.
Maintain all compliant requirements.
Maintain Office lobby and kitchen with supplies and ensure “Client Ready” appearance.
Order/Maintain all needed office equipment/furniture/supplies.
Additional responsibilities may be assigned from time to time.

Education & Experience:

Four-year bachelor's degree in finance, accounting, or other closely related field. May substitute 1.5 years of experience for one year of education.

Knowledge, Skills & Abilities:

Strong ability to communicate and work effectively as a team member.
Attention to detail, thoroughness, and number accuracy.
Ability to clearly follow direction and articulate and write responses in English.
Must have sound judgment when dealing with clients and staff members.
Work under pressure and meet mandatory deadlines as needed.
Sound judgment in determining prioritization of work.
Keen sense of ownership of job responsibilities
Knowledge of Microsoft Suite and able to comprehend and use software common in the industry.

Supervisory Responsibilities: None

Physical Demands and Work Environment:

The physical demands and work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform these essential functions.

Routine 8-hour shift; but may be subject to irregular hours based on shift demands.
Ability to lift to 15 lbs.
Visual and auditory acuity sufficient to read Company materials and view monitor and telephone.
Employees will work in an indoor environment; may be exposed to variations in room temperature and noise level.
Must be able to voice/write communication with staff and clients in English.
Must be able to use normal office equipment to include, but not limited to computer (laptop), telephone, printers, scanner, postage machine, and multiple computer monitors.

EEO/AAP Statement:

We provide equal employment opportunity to all individuals regardless of their race, color, creed, religion, gender, age, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by state, federal, or local law. Further, the company takes affirmative action to ensure that employees are treated during employment without regard to any of these characteristics. Discrimination of any type will not be tolerated.

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Apply at Kestra Financial Independent Advisor

About the Company

Kestra Financial

Independent RIA and broker/dealer services platform

Kestra Financial provides independent wealth-management platforms and back-office services for RIAs and broker/dealers. It combines wealth-management services with technology and practice-enrichment tools to help advisors grow, offering product suites such as Kestra Private Wealth Services, Kestra Investment Services, Kestra Advisory Services, and Kestra Institutional Services, along with platforms like Fusion and Partners Financial/Benefits Partners. It differentiates itself through a long track record of independence, a broad multi-platform ecosystem, and integrated back-office support rather than just selling products. Its goal is to empower independent advisors to grow their practice and deliver personalized client service through transparent, integrated technology and support.

Company size: 201-500
Company stage: IPO
Headquarters: Austin, TX
Founded: 1996

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