Financial Services Manager

Financial Services Manager

This position will oversee the investment department of a full service financial planning firm and provide support to a group of investment representatives in the areas of financial client services. The primary responsibilities of this position are to assist the financial advisors with investment customer service, regulatory compliance, and problem resolution. This position involves administering operational policies, procedures, and processes in support of Financial Services operations and leading/supporting the investment team.

The successful candidate must be results driven and possess strong analytical, organizational, communication, computer and customer service skills. This position requires a self-starter having strong initiative, good attention to detail, and excellent follow through skills.

Position Requirements

• Must have securities, financial planning, and/or related industry experience, as well as some management experience
• Bachelor Degree, preferably in the field of finance/business
• Knowledge of securities and insurance industry practices, procedures and terminology
• Strong computer skills, including proficiency in MS Office - Excel and Word
• Skilled in strong and effective verbal and written communication

Must have the ability to:

• Pay strong attention to details and ensure accuracy and completeness of all forms, letters, emails, etc.
• Work cooperatively in a team environment
• Organize, prioritize and handle multiple tasks
• Work under pressure and meet deadlines
• Communicate with co-workers, clients, and various business contacts in a courteous and professional manner
• Investigate and research situations
• Maintain confidentiality
• Self-motivated with the ability to work independently and with minimal supervision

Position Duties and Tasks

• Utilize client and investment software to find necessary data
• Perform numerical calculations
• Understand a multitude of forms to help clients with completion and submission
• Send letters/emails and forms to clients upon request
• Resolve client and investment issues with both Broker Dealer as well as with outside Companies
• Process client distributions and contributions
• Lead investment team meetings and track all investment services tasks
• Communicate clearly and professionally with clients and upper management
• Provide customer service in the areas of insurance, annuities, and investments

Professional Planning Associates has been in the business of providing financial planning services since it was founded in 1953. We have expanded from a small firm providing life insurance to a full service brokerage firm offering Life, Health, and Disability Insurance programs as well as Pension, Estate and Investment Planning services.
In 2004 we joined LPL Financial, one of the Leading Independent Financial Services in the country. In September 2018, we joined Cetera Advisors LLC. because they are a medium sized Broker-Dealer with a reputation for good customer service by providing access to a network of people, services and support. This allows us more time to focus on our clients and their interests.
We currently provide services for over 200 companies from 2 to 100 employees. We have designed their first employee benefit plans and helped them grow. Our clients are collectively insured for over 1 billion dollars. We manage over 400 retirement accounts (SEP, TSA, IRA, Pension, Profit Sharing, 401(k) and Simple Plans). The total value of these accounts now exceeds 100 million dollars.
The firm consists of 7 advisors, 2 Portfolio Managers, and a staff of 13 skilled, service–oriented people.