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Investment Compliance and Operations Specialist

Company: Willow
Location: Pittsfield
Posted on: December 30, 2019

Job Description:

Willow - Investments for Loving Change Willow is hiring Are you looking to join a social enterprise committed to raising the consciousness of businesses, leaders, our clients and ourselves? Willow is a Registered Independent Investment Advisory firm with a small, nimble, and innovative team looking to disrupt the finance industry. We are wealth managers and financial planners uncompromisingly focused on socially- and environmentally-responsible investing. Our amazing clients are our benevolent force for good, and together we are bringing empowerment, education and awareness to both investors and the businesses in which we invest. Our mission is to create an equitable world where consciousness, spirituality, and inclusivity are congruent with capitalism. We lead with heart, intuition, and collaboration - the superpowers of a woman-led enterprise But our real superpower is self-development. Only by changing our inner world and creating inner freedom can we change the systems in the outer world. We are looking for a special person to join our growing team in the role of Compliance and Operations Specialist. Commitment to inner growth is a must to realize our mission. Our company values are Self-Development, Love, Safety, and Drive. If these values pulse through your veins, keep reading below and we would love to hear from you. Mentoring is available for the right person with the right aptitude and attitude. We encourage all to apply, especially if you enjoy a diversity-friendly workplace Your application should include a resume, cover letter, and three professional references. In your letter, please be sure to speak to both your relevant professional experience and to the ways in which you personally grow, challenge yourself, and embrace change. Please send application materials to: applyinvestwithwillow.com No phone calls please. Review of Applications will begin on December 30th; position will remain open until filled. Salary Range: $36,000 - $45,000, plus benefits Title: Investment Compliance and Operations Specialist Reports To: CEO Position Purpose The Investment Compliance and Operations Specialist is a hybrid position addressing compliance monitoring, client services, investment operations, and office management for a small, but growing conscience investment firm. Major Responsibilities Monitor ADCM's compliance with all relevant federal and state regulations. Manages investment account operations related to custody, system interfaces, and daily client needs. Provides front line customer service with all clients (in person and on phone) to provide an ongoing array of services. Supports investment and operations staff in daily operations, including general office management support (e.g., supply ordering, vendor relationships, etc.). Essential Job Functions Compliance Functions Compiles and completes annual compliance review for review and approval by CEO. Ensures procedures are documented and consistent with company policies and industry regulations. Interfaces with compliance consultants to incorporate new compliance rules into policies and procedures. Initiates all Corporate Filings for state, SEC, and IRS, including the ADV. Work with compliance consultants to ensure that all applicable regulatory filings are accurate and timely. Files Annual Report and tax payments with state of Massachusetts. Keeps up to date on industry rules and regulations. Documents and tracks compliance violations for review by CEO. Investment Operations Functions Works with investors and clients to accurately complete account applications, asset transfer forms, beneficiary designations, distribution forms, etc. Ensures accounts are accurately established with Advisor. Oversees and manages the asset transfer process. Establishes rapport with Advisor contacts to ensure timely and accurate completion of requests and resolves outstanding issues. Processes distribution and check requests per instructions received from clients and investors; and maintains client deposit/disbursement records. Regularly updates investors/Advisor/CRM on status of tasks. Actively gains knowledge on Advisor/CRM and other systems. Ensures CRM and related workflow databases are updated accurately and on a timely basis set up CRM. Sets up CRM workflows as needed. Uploads and reconciles interfaces from databases (e.g., Pershing to Portfolio Center). Reconciles previous day's trades. Runs, formats, and emails/mails periodic or as needed reports. Manages and updates client info: address changes, contact info., etc. Ensures desk and online documentation are kept in good order including scanning and faxing client documentation. Ensures all forms are up to date and stocked. Periodically reviews client data and files for completeness and accuracy. Identifies needed improvements and/or updates to operational policies, processes, and procedures. Provides additional operational support and basic staff support as requested. Client Service Functions Provides front line client service for new and existing clients (phone answering, in person greeting, meeting scheduling, and hosting). Communicates with clients as needed regarding all account actions: new account set-up, paperwork changes, distributions, etc. Contacts clients to schedule meetings with portfolio managers (e.g., for annual reviews). Maintains client contact/service tracking system (through CRM or other office systems). Handles client inquiries/issues for operational, planning, and administrative requests. Prepares new client information packets. Office Management Functions Provides basic human resources management - provides legal notices, prepares new or departing employee paperwork, liaison with outside HR management support vendor. Maintains all office/systems vendor relationships, tracking of contracts, invoices, and resolution of service issues. Orders office supplies and ensures office equipment is kept in good working order. Oversees office cleanliness - including outside contractor and landlord cleaning services, and provides support to reset office and clean up after events/functions. Sets up conference room for meetings as needed. Assumes additional responsibilities as requested. Education and Experience Requirements 4 Year College Degree or equivalent work experience required Experience in business or investment arenas preferred 5 years of experience in a similar position desired, with demonstrated experience in operations, compliance, customer service, and office management. Essential Knowledge, Skills, and Abilities Experience working with CRM systems (ideally Redtail), advisor systems (ideally Pershing and Portfolio Center), and the Microsoft Office suite (especially advanced-level Excel knowledge). Comfortable with technology and paperless office operations Strong working knowledge of RIA Regulations, registered investment advisor, or demonstrated experience with monitoring and applying state and federal regulations in a business compliance context. Good business judgment and the ability to handle stressful situations with internal clients while maintaining a professional approach to communication, problem solving, and risk reduction. Strong interpersonal, organizational, communication, customer-service, team-work, and problem-solving skills. Ability to communicate effectively and professionally orally and in writing. Strong demonstrated commitment to personal growth and development, beyond professional development. Must be organized, detail-oriented, persistent, self-motivated, and able to function with a high degree of independence and accuracy, and to work on multiple projects with competing deadlines. Willingness to learn new things and ability to quickly apply new knowledge Must possess ability to set and hold boundaries and standards, with a trustworthy, dependable personality. Must possess an authentically warm, friendly, open personality, and demonstrate a desire to provide excellent client service. Must have a sense of professional stewardship, including the ability to follow up and follow through.

Keywords: Willow, Pittsfield , Investment Compliance and Operations Specialist, Other , Pittsfield, Massachusetts

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