Financial Operations Associate 
IAG Wealth Partners
Waukesha, WI

Core Competencies:

• Client Facing Communication & Service: Enthusiastic, Patient, Respectful, Empathetic.
• Client Information Management: Accuracy, Documentation & Follow up.
• Compliance & Procedural Discipline: Attention to Detail - Error Free Work.
• Team Collaboration & Communication: Willingness, Clear and Concise, Active Listener.
• Professionalism: Conduct, Presentation, Interactions.
• Workflow Ownership: Proactive, Reliable, and Organized.
• Values Alignment: Integrity, Service Minded, Stewardship, Humility/Teachability, Empathy, and Respect.

Responsibilities:

• Develop a cohesive and efficient working relationship with assigned financial advisor(s).
• Develop and support professional relationships with clients via phone, email, and in-person.
• Prepare forms and other materials for client meetings as needed or directed.
• Process required paperwork for client account set-up and investment implementation.
• Complete tasks within the SLA (service level agreements).
• Complete tasks using internal processes, timelines and standard operation procedures.
• Communicate effectively to assigned advisors, team members, and other departments.
• Provide ongoing customer service for specific client requests and for online account access.
• Schedule client meetings and appointments.
• Maintain client database including updates, changes in status, and client requests.
• Maintain compliance with broker/dealer and regulatory requirements.
• Work as a team member including backup for other members when assigned.
• Perform front-desk backup including answering phones and greeting guests.
• Attend mandatory team and company meetings.
• Participate in and aid with company events (sometimes outside of normal work hours).
• Other duties as assigned.

Job Requirements:

• 1-3 years of financial industry experience preferred.
• High school diploma required.
• Bachelor’s or Associate’s degree in business administration, finance, or accounting preferred.
• Consistent and exceptional attention to detail.
• Exceptional transactional accuracy and procedural discipline.
• Professional and positive attitude geared to serving clients.
• Strong desire to deliver superior client service.
• Excellent phone etiquette and interpersonal communication skills.
• Highly ethical team player: desire to work in small team environment with collaboration.
• Proficiency with Microsoft Office including Excel, Word, and Outlook.
• Ability to work at a standard workstation.

Work Environment

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