Job Description

General Summary:

Candidate is responsible for various functions within the Operations Department and reports to the Operations Manager. Responsibilities include, but are not limited to, data entry of new business transactions into our workflow system, as well as reviewing weekly transaction blotters to ensure accuracy of books and records.

Responsibilities and Duties:

• Primary Contact for workflow and document storage platform regarding issues and communication
• Identify and react to a vast variety of day-to-day issues that will affect the company in many ways, both
• financial and logistically
• Train offices nationwide to access and use the firm’s new business and transitions processing system
• Work collaboratively across various firm to facilitate new business and problem resolution
• Outreach to field offices to build relationships and ensure new business expectations and submissions are
• being met
• Data entry and new business facilitation into workflow system
• Data entry into the firm’s CRM and commission system to maintain an accurate and up-to-date database
• Scan and file organization, both electronically and manually in cabinets, as well as cloud based file storage
• Review weekly trade transaction blotters to ensure books and records are accurate
• Compile weekly new business sales and account data to be presented to upper management
• Answer general incoming calls on an as needed basis.
• Greet visitors with professionalism and courtesy.
• Various Projects, as needed.

Abilities Required:

• Must possess a service‐oriented nature, excellent human relations skills and a solid work ethic with a
• positive attitude.
• Ability to work independently in a fast‐paced environment.
• Ability to be a creative problem solver.
• Must be flexible and adaptable within a transformational firm.
• Must have strong attention to detail and be able to multitask and switch gears easily.
• Ability to prioritize tasks and goals, ensuring timeliness.
• Must be well organized and responsive to team needs.
• Ability to communicate well verbally and in writing.
• Must be able to make decisions and recommendations to benefit the firm.
• Some financial industry experience and/or experience with financial products/services.
• Minimum Licensing and Requirements: FINRA Series SIE and Series 99 required

Position: Full time. Remote or Ann Arbor, MI based.

This Job Description is not a complete statement of all duties and responsibilities comprising the position. Job descriptions are not intended and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.

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