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WealthPlan Financial Group LLC provides effective, long-term financial solutions to individuals and small businesses, offering a wide array of financial advice, asset management services and insurance related programs. We have an immediate need for a Branch Office Administrator to join our regional OSJ team!

This position will be located in our OSJ branch in Ballantyne’s Corporate Park. The ideal candidate is extremely service-oriented, possessing the following core competencies:

  • Exceptional client service abilities
  • Critical thinking capabilities
  • Strong initiative
  • Effective written and verbal communication skills
  • The interest and aptitude to learn and understand the financial services industry
Duties Include:
  • Office Administration – This position is ideal for a well-organized person who enjoys multi-tasking and working with technology and people. Daily office administration duties include overseeing appointment setting and schedules, processing deposits and transactions, and ordering office supplies.
  • Service Excellence – Take pride in providing service excellence and support to our advisors and their clients by responding to inquiries in a professional and efficient manner.
  • Regional Support – Serve as a point of contact for our advisors and their staff on securities and insurance related questions. Be their advocate and liaison to expedite broker-dealer related business issues.
  • New Business – Assist in the creation of proposals, gather appropriate marketing materials and assemble and pre-complete packages of forms ready for client signatures. Submit new business forms to appropriate parties and monitor workflows for timely completion. Mitigate not-in-good-order mistakes and remediate as needed.
  • Telephone – Handle incoming and outgoing calls from both internal and external clients.
  • Filing/Data Entry – Ensure that existing and new client information is properly documented in imaging and Client Relationship Management (CRM) systems. Take the lead on documentation/file requests from the back office and regulators in the event of audits or other relevant requests.
  • Client support – Take the lead on client service requests such as account information changes and money movement requests and ensure timely completion. Close the communication loop with the clients when these requests are completed and properly archive all relevant documentation into the imaging and CRM systems.
  • Compliance – Assist the Compliance Manager with compliance monitoring and supervision for the OSJ region. This includes blottering checks, submitting advertising items for review, monitoring timely submission of business, organizing correspondence submissions and assisting with supervisory branch visits.

The ideal candidate will possess excellent phone and written communication skills and have experience with Microsoft Office Suite. Knowledge of RedTail, Hyland, Wealthscape, Envestnet and other financial industry platforms is preferred. Financial industry licensing such as the Finra SIE, Series 6, or Series 7 a plus. SIE required within 6 months of hire.

Other Requirements:

Per regulatory requirements, candidates must submit to a mandatory background check including criminal and personal credit checks. Fingerprinting must be completed and submitted prior to approval/hire. Candidates are subject to preliminary and random drug testing. Proof of eligibility to work in the United States must be provided.

Keywords & Similar Job Titles:

Branch Office Administrator, BOA, Client Service Administrator, Client Service Manager, Client Service Associate, Client Service Coordinator, Client Service Assistant, Operations Assistant, Operations Specialist