Office Administrator


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

    • New Money

    • New Accounts

  • Process outgoing distributions

    • 1X distributions

    • Ongoing distributions

    • RMD distributions

  • Take point on the preparation and delivery of client reports to be used by advisors for:

    • Port Reviews

    • Tax filing

    • 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:

    • Client Folder

    • Supplemental inserts

    • Handouts

    • Supporting Literature

    • Presentation materials

    • Work books

  • 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:

    • Junxure

      • Client View Live Maintenance

      • Workflow sequencing

      • Maintenance

    • Laserfiche

      • Filing

      • Document recovery

      • Maintenance

    • AXYS

      • Billing

      • Download

      • New Client set up

      • Exiting client removal

      • Maintenance

  • 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.