Note: This is not intended to be an all-inclusive job description but rather an overview of the broad areas of responsibilities one can expect to be responsible for.
An ideal Office Administer should have attained their bachelor’s degree (BA or BS) from and an accredited college and have experience working in the investment management industry. Have a solid understanding of the different types of investment accounts and the different regulatory and legal requirements associated with them. Be familiar with basic compliance rules and regulations.
The job of an Office Administrator is to work closely with the Office Manager to keep the office running smoothly. And when needed should be able to step in and perform key functions of the Office Manager’s role when they are out of the office. (Such as but not limited to; Operations & Admin functions, Client Servicing, Sales & Marketing Support, Compliance Support and IT support) They should have excellent communication skills, be able to multi-task, and prioritize their responsibilities while working in a busy office environment. They should be proficient in the use of all Microsoft Office software, as well as, key office/administrative software. They should also have strong internet research abilities. Be able to work both, independently with minimal supervision oversight and in a collaborative environment. Be flexible and willing to adapt to changing client and work requirements.
General Job Responsibilities:
Greet visitors and make sure they are comfortable.
Maintain a safe and clean office environment for both clients and staff
Answer phones and route calls to specific people
Take and relay messages
Assist with Scanning, faxing & e mailing
Assist with proof reading and the preparation of documents
Assist with the preparation of reports
Answer inquiries about company.
Schedule meetings and conference rooms.
Update appointment calendars.
Schedule follow-up appointments.
Coordinate mail flow in and out of office
Operations / Administrative Responsibilities
Take point on preparing and processing client paperwork (Inside and outside sales)
Be the firm specialist on TD Ameritrade’s paperwork
Be the firm specialist on LFS’s paperwork
Perform the month end responsibilities in Axys
Perform the quarterly billing (Axys / Jx)
Perform the maintenance and audit of Axys
Perform the maintenance and audit of Junxure
Monitor the office Supplies and replenish as needed.
Take minutes during meetings
Assist staff with any projects
Create and review correspondence, reports and documents (Ongoing and as needed)
Client Servicing Responsibilities
Take point on the on-boarding of new clients
Take point on the processing and coordination of paperwork
Assist clients with general front & back office requests
Quickly identify and resolve client issues
Process incoming contributions
Process outgoing distributions
Take point on the preparation and delivery of client reports to be used by advisors for:
Other reports as needed
Assist with the generation, packaging & processing of client tax returns
Assist with meeting or exceeding the firm wide client retention targets
Sales / Marketing Support Responsibilities
Take point on the printing, assembling and packaging of prospect materials such as:
Review marketing and sales rough drafts for spelling and grammar
Assist in meeting or exceed the firm wide business development targets
Assist in Annual Client Appreciation event planning and coordination
Assist with the set up and tear down of firm sponsored prospecting events
Input and follow up sales leads from community seminars
Input and follow up sales leads from professional networks
Compliance Support Responsibilities
Assist the Office Manager in maintaining the annual compliance checklist
IT Support Responsibilities
Be the firm specialist in the following software / applications:
Client View Live Maintenance
New Client set up
Exiting client removal
Assist the Office Manager to ensure that mission critical applications and functions are up and running smoothly. Such as, but not limited to:
Monitor Security / Firewall systems to make sure they are running correctly
Monitor our backups & Restore functions to make sure they are current
Verify key hardware & software applications are up to date and running efficiently
Desktops / Laptops / iPads / Ect.