Operations Associate (Financial Industry)
Job Description
Job Description
Stone Arch Advisory Group is searching for an Operations Associate to join their Award Winning Team (Forbes 2025 Best-In-State Wealth Management Teams)!
In this role, you will represent Stone Arch and play a key role in client service, investment & insurance operations, and various project management activities. The main objective is to implement financial planning recommendations given to clients and ensure consistent internal and external support. This individual will work closely with an experienced team and report to the Operations Manager and Executive Team.
Responsibilities include, but are not limited to:
- Assist clients with service on existing insurance and investment account maintenance
- Completes new life insurance applications, schedules paramedical exams, and manages insurance underwriting and policy delivery processes
- Initiates onboarding of new investment accounts and funding
- Assists with Asset movement – deposits, withdrawals, journals/transfers, rollovers, Roth conversions
- Compliance monitoring and completing compliance requirements
- Cash monitoring for distribution accounts’
- Coordination of accounts consolidation – transfers, rollovers
- Brokerage account trading
- Monitors investment account funding and logistics
- Scans and maintains compliant client files in the E-file system
- Documents client conversations in case notes and maintains CRM as needed
- Stay up to date and informed on technology changes, attending webinars or classes as needed to stay current on correct processes and procedures when conducting business daily
- Maintains own personal CE credits and certification, knowing when your licenses expire
- Sustains a positive, enthusiastic, and professional office atmosphere and environment
- Maintains a sense of autonomy, and urgency, and takes initiative
- Participates and contributes in team/firmwide meetings
Qualifications
- AAS or BA/BS
- MN State Life, Accident & Health licensed – or the ability to obtain in 3 months
- Series 6 (or Series 7) and 63 – or the ability to obtain in 3-6 months
- 2+ years’ experience in the financial services industry, or 1+ years of Northwestern Mutual experience
Performance Skills & Traits
- Entrepreneurial builder, collaborative colleague, and practical problem-solver
- Exceptional organizational skills and attention to detail
- Excellent oral and written communication skills
- High degree of initiative, autonomy, and urgency
- Ability to work in a fast-paced environment
- Proficient in MS Office/CRM (Excel, Word, PowerPoint)
- Professional and polished demeanor
- Demonstrated ability to maintain effective working relationships
Benefits
- Base Salary + Quarterly Bonus, Total Comp range: $40,000 - $60,000
- 20 days of PTO
- Hybrid work model (after 90 days)
- Medical, dental, and vision benefits available
- Short-term and long-term disability
- 4% 401k matching program
- Reimbursement for licenses, designations, and continuing education
Learn More about Stone Arch Advisory Group here: https://www.stonearchadvisorygroup.com/index.html