Innovative Wealth Managers · 2 days ago
Client Service & Operations Associate
Suffield, CT
Full-time
Onsite
Entry, Mid Level
2+ years expInnovative Wealth Managers is seeking a Client Service & Operations Associate to drive the operational efficiency of the firm. The role involves managing client data, executing money movement, and supporting Senior Advisors and Paraplanners in their daily operations.
Financial Services
Hiring Manager
Julia Eggleston
Responsibilities
Client Segmentation & Analysis: Use advanced Excel functions to break down the book of business into clusters/groups based on specific criteria (e.g., age, asset size, RMD status, insurance needs, risk tolerance)
Operational Reporting: Run and analyze reports to identify opportunities or service gaps (e.g., identifying clients with excess cash, upcoming term insurance expirations, or missing beneficiaries)
Database Management : Maintain strict data integrity within Redtail CRM and eMoney, ensuring all client fields are tagged correctly to allow for accurate reporting by the planning team
Money Movement : Execute daily cashiering requests with zero error margin. This includes processing ACH transfers, Federal Fund wires, journaling funds between accounts, and issuing checks
New Account Onboarding : Manage the end-to-end account opening process. Prepare complex applications, manage DocuSign envelopes, and track the status of transfers of assets (ACATs) until fully funded
Quality Control (NIGO Reduction): Review all paperwork for accuracy before submission to minimize "Not In Good Order" (NIGO) returns. Ensure all compliance requirements (signatures, dates, disclosures) are met
Meeting Preparation : collaborative with Paraplanners to prepare comprehensive meeting files. This includes generating Meeting Agendas, performance reports, updated balance sheets, and necessary administrative forms
Workflow Management : Assist Senior Advisors by managing operational workflows (e.g., RMD tracking, tax document delivery) so advisors can focus on client interaction
Problem Solving : Act as the liaison between the firm and the custodian (NFS/Commonwealth) to troubleshoot operational issues, such as rejected trades or stalled transfers
Qualification
Required
Advanced Microsoft 365 Ecosystem
Microsoft Outlook (Mastery Required): Must be able to manage complex, multi-advisor calendars with zero conflicts; Proficiency in using 'Rules' and 'Quick Steps' to automate email filing and task creation; Experience sending secure/encrypted emails and managing large distribution lists
Microsoft PowerPoint: Ability to create polished, client-facing presentation decks for reviews and seminars; Skill in taking Excel data/charts and embedding them into PowerPoint for clean visual reporting
Microsoft Word: Advanced formatting skills (headers, footers, styles) for professional letters; Mail Merge Mastery: Ability to link Excel client lists to Word to mass-produce personalized client letters, labels, and envelopes efficiently
CRM & Database Management (Redtail/Salesforce)
Database Hygiene: You are the 'Guardian of Data.' You must ensure every client file has complete data (DOB, DL numbers, beneficiaries) to prevent operational bottlenecks
Workflow Automation: Ability to build and manage workflows (e.g., 'New Client Onboarding Workflow') to track tasks across the team
Tagging & Segmentation: Proficiency in tagging clients/households to create dynamic groups for reporting and marketing (e.g., 'Clients over 70,' 'Golfers,' 'Business Owners')
Digital Operations & Website Management
Website Maintenance: Responsible for keeping the firm's website current. This includes updating team bios, posting new blog content/market commentaries, and managing the 'Events' calendar
Virtual Meeting Tech: Expert management of Zoom/Teams (scheduling, waiting rooms, screen sharing, and troubleshooting audio/video issues for clients)
Tech Adaptability: The ability to quickly learn and master niche fintech tools (Holistiplan for tax planning, Zocks for meeting notes, eMoney for aggregation) without constant supervision
Extreme Attention to Detail: The ability to spot a missing signature or an incorrect account number before a form is submitted
Process-Oriented: Ability to follow strict compliance protocols regarding money movement and client privacy
Team Collaboration: innovative mindset to support the 'triad' structure (Advisor + Paraplanner + Operations)
Experience: 2+ years in Wealth Management Operations or a similar data-heavy administrative role
Education: Bachelor's degree required
Preferred
Licensing: FINRA Series 7 and 66 (or 63/65) preferred, or willingness to obtain
Company
Innovative Wealth Managers
Creative planning for a lifetime.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Anthony Migliozzi
Managing Partner
Company data provided by crunchbase