Investment Operations Assistant

INVESTMENT OPERATIONS ASSISTANT NETWORK OFFICE \- DOWNTOWN SALT LAKE CITY, UT REPORTS TO: Assistant Director of Supervision HOURS: FULL\-TIME, M\-F, 8:00AM – 5:00PM with 1 hour lunch SALARY: $21\.00 to 25\.00\. per hour, DOE, and current licensing GENERAL RESPONSIBILITIES The responsibilities of the Network Office Investment Operations Assistant are to assist the NMIS operations manager in onboarding and supporting representatives that are selling investments. Provide office, data entry and service administrative support for the office operations by following acceptable procedures. Specific responsibilities include but will not be limited to: Office Administration Open and distribute mail. Prepare outgoing NMIS pouch mail or overnight mail File and log appropriate correspondence and forms Maintain supplies of prospectuses, and sales material Maintain complaint file Distribute processed trades and mutual fund statements to registered representatives Handle incoming calls to answer client requests for current account information only or direct calls to appropriate personnel Data administration Processes account maintenance requests Review and process commission reports Review branch production reports Maintain daily bank deposits, check and order logs for Agency Supervisory review/approval Process service requests including funds disbursements, account transfers Process trade correction requests per approval from Agency Supervisor/Invest Operations Manager Service Support Respond to registered representative administrative requests Act as Liaison for FR NMIS needs, client service access, mutual fund access, and troubleshoot paperwork that is lost or processed incorrectly Cross train for planning department functions \& duties to allow backup as needed. Covers front desk as needed/scheduled QUALIFICATIONS It is recommended that the Network Office Investment Operations Assistant have the following qualifications: Bachelor’s Degree in Finance, Business Management or Accounting Preferred: Series 6 and Series 63 or Series 7 and Series 63 One to three years of securities industry experience preferred Demonstrated computer experience required Strong organizational and time management skills with ability to set priorities and meet deadlines Ability to work with a high degree of accuracy in handling detailed work Excellent communication skills (verbal and written) with the ability to collaborate effectively with others Above average math and data entry skills Ability to multi\-task and prioritize Ability to adapt to change and identify process improvements BENEFITS Health, Dental, Vision Insurance HSA offering 401(k) and match Life Insurance PTO Entry Level \| Finance \| Relationship \| Support \| Operations \| Support \| Wealth Management \| Investments Job Type: Full\-time Physical Setting: Office Schedule: Monday to Friday Job Type: Full\-time Pay: $21\.00 \- $25\.00 per hour Benefits: 401(k) 401(k) matching Dental insurance Health insurance Health savings account Life insurance Paid time off Professional development assistance Vision insurance Ability to Commute: Salt Lake City, UT 84111 (Preferred) Ability to Relocate: Salt Lake City, UT 84111: Relocate before starting work (Preferred) Work Location: In person