Job description
Sparks Financial is a holistic wealth management firm, providing a top-notch experience to our valued clients. Our mission is to help people define, build, and enjoy prosperous lives, and we are honored to be a member of the Northwestern Mutual Private Client Group to bring this mission to life. We are recognized by Barron’s, Forbes, and Denver Business Journal as one of the top wealth management firms in the country, managing over $1.5 billion for clients nationally. As we continue to grow, the ideal team player will have an impeccable attention to detail and seek ways to impact processes and clients. Learn more about our firm on our website.
The Role
As an Operations Associate, you will work with our team to support our financial services practice – with a focus on developing, fostering, and nurturing professional skills in our Insurance, Investment and Planning departments. As our Operations Associate, you will be a valued team member who will have the opportunity to grow, learn and thrive in a supportive and collaborative environment.
Responsibilities of the role:
Insurance – areas of focus
- Connect with clients to take applications
- Arrange medicals necessary for underwriting
- Review insurance applications, conversions and policy changes for completeness and accuracy
- Guide clients through the underwriting process for additional information
Investments – areas of focus
- Leverage client information to prepare, send and establish new investment accounts
- Process account maintenance and money movement requests
- Prepare proposals for registered representative’s meeting with clients/prospects (Morningstar reports and Investor Policy Statements)
- Prepare account summaries
Planning – areas of focus
- Financial plan preparation
- Document gathering for case prep
- Facilitate advisory meeting consultations for plan guidelines
Central Team– areas of focus
- Monitor workflow items for attention and bring any time-sensitive action items forward, as-appropriate
- Track and update opportunities in our Client Relationship Management system
- Engage clients as necessary
- Ad-hoc operational projects as they arise
What You Will Bring to the Team
- A strong sense of collaboration as part of a goal orientated team with the ability to communicate effectively with individuals down the hall and around the community
- Demonstrated ability to handle the execution of confidential and time sensitive information
- Bachelor’s Degree Required (or equivalent secondary education)
- Colorado Life and Health Insurance Licenses Required (or earned within first 30 days of employment)
- FINRA SIE, Series 6, and Series 63 Licenses Required (or earned within first 90 days of employment)
What we provide
- A fulltime, 40-hour work week, exempt opportunity with the potion to work remote on Fridays after successful completion of new-hire onboarding
- Pay is $55,000-$70,000 (contingent on industry experience) + quarterly production bonuses
- Paid for industry licensing (to include study time and exam course material)
- 90-day rotational training program during your onboarding phase to get you up to speed in all three operations departments (insurance, investments, and planning)
- PTO, holiday time off, birthday day off
- Medical, dental and vision coverage, Long-Term and Short-Term Disability, 401k Employer Award
- Access to onsite workout facility, paid for garage parking, and work laptop
- We are an equal opportunity/affirmative action employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.
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