Operations Associate

Operations Associate

WHO WE ARE:

Capital Planning is an independent wealth management firm founded with a mission to provide financial planning with purpose, so clients can focus on enjoying life. We offer a full range of wealth management services, grounded in comprehensive planning and independent thinking. Over the last 30+ years, we have formed a team to address the complexities of financial planning, in order to provide simplicity for our clients.

We are a client-centered team that places a strong emphasis on collaboration and shared success. At the same time, we believe in aligning each team member’s unique strengths with their responsibilities and empowering self-management in individual tasks.

If you thrive in a supportive team environment where you’re given the autonomy to take ownership of your role, this opportunity is for you. Most importantly, we’re looking for someone with a servant's heart, dedicated to serving others and making a positive impact.

WHO WE WANT:

The Operations Associate will assist team members in preparing paperwork and ensuring every aspect of client accounts are set up accurately and properly maintained. This role will provide ongoing service and support to clients that exceeds expectations. This includes determining what actions need to be completed to set up new accounts or perform maintenance on existing client accounts on an accurate and timely basis. Coordination of projects, training and ongoing development of improved office procedures is also required.

WHAT TO EXPECT

• Maintain client information in our records database
• Prepare paperwork to open and/or maintain client accounts to the specifications requested by the Advisor
• Assist in the preparation of materials for upcoming client meetings
• Become subject matter expert in operational policies and procedures
• Conduct and participate in client meetings, face-to-face, to complete required paperwork (as training progresses)
• Follow the guidelines provided to achieve goals and deliverables that support business goals in collaboration with management and stakeholders
• Conduct phone calls with custodians to research potential issues within client accounts » Assist in developing processes and procedures that enhance accuracy and streamlines processes
• Oversee trading for the firm:
• Ensure timely execution of trades and account rebalancing.
• Review account transaction confirmations for accuracy.

· Ensure seamless delivery of all aspects of the client experience, including new client onboarding, client service, and trading.

o Oversee efficient and accurate creation and processing of new account forms.

o Manage client service process to ensure timely and accurate responses.

WHAT YOU NEED:

Requires:

· Strong communication and interpersonal skills.

· Excellent organizational and time management skills.

· Excellent attitude and an extraordinary client service orientation.

· Ability to handle multiple tasks and operate within tight deadlines.

· Proficiency with Microsoft Office Suite.

· Computer literacy to easily learn new programs

· Knowledge of Financial Advisor office tools (Redtail, ClientWorks) preferred

· Strong attention to details

· Planning and organizational skills

· Exceptional written and verbal communication skills

· A bachelor’s degree or equivalent experience.

· Excellent knowledge of the securities industry’s rules and regulations.

· FINRA Series 7, 63, 65, preferred.

· CFP, preferred.

· At least three years of experience in a financial services firm assisting with day-to-day operations, preferred.

In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, a potential for career growth, and a great working environment. This is your chance to play a key role in the continued success of our company. For more information about our company, please visit our website www.capital-planning.com

If you are interested in this opportunity, please send your resume and letter of interest to Annie Brinckman at Annie@capital-planning.com

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.

Pay: $50,000.00 - $75,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Health savings account
• Life insurance
• Paid parental leave
• Paid time off
• Parental leave
• Tuition reimbursement
• Vision insurance

Work Location: In person