Job description

Our team is seeking an Operations Assistant.

The individual should be a self-starter, a problem solver, interested in operating in a dynamic environment and comfortable with engaging high net worth individuals on a regular basis. The individual in the role will also need to think proactively and use discretion given the nature of the materials and projects that CEA handles.

The Client Operations Associate assists one or more Financial Advisors (FA) with the opening and maintenance of client accounts and records; performs a wide variety of administrative support duties, including but not limited to, data entry, preparing mailings, filing, answering the phone, obtaining approvals for FA communications and advertisements; provides overall customer service support to clients.

MAJOR DUTIES

• Perform clerical functions related to opening and servicing client accounts at Charles Schwab.
• Work with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
• Organize and assist in the maintenance of complete client accounts
• Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
• Provide reports and other information to FA(s), as requested.
• Identify situations that need to be brought to the attention of the FA(s)
• Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA

ADDITIONAL REQUIREMENTS

• 2 years general clerical experience required in financial services.
• College degree preferred.
• Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
• General understanding of the investment brokerage industry and securities regulations.
• Basic knowledge of investment products.
• Basic understanding of operations system (i.e., forms and their purpose).
• Ability to organize/prioritize
• Practical problem solving
• Strong focus on providing exemplary client service
• Strong interpersonal skills
• Strong communication skills (both written and verbal)
• Excellent grammar and possess phone/office etiquette
• Must be able to manage stress, meet strict deadlines under pressure, perform with a high degree of accuracy, and consistently provide excellent customer service.
• Experience working with custodians such as Charles Schwab, Fidelity Investments, etc.

About Capital Estate Advisors, Inc.

Founded in 1993 by Paul Reback, Capital Estate Advisors, Inc., located in New York City, is an independent Registered Investment Advisory (RIA) firm with securities transactions handled through our custodian, Charles Schwab Corporation. We provide expertise in asset management, estate planning, business advisory, tax mitigation strategies, wealth preservation and growth.

Job Type: Full-time

Pay: $65,000.00 - $85,000.00 per year

Schedule:

• 8 hour shift
• Monday to Friday

Ability to commute/relocate:

• New York, NY: Reliably commute or planning to relocate before starting work (Required)

Experience:

• Financial services: 3 years (Required)
• working with custodians like Charles Schwab, et: 2 years (Required)

License/Certification:

• Insurance or Securities License (Preferred)

Work Location: One location

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