Overview

Park Wealth Management – Redondo Beach, CA Investment Analyst & Operations I am seeking a motivated and energetic professional to assume the role of Investment Analyst & Operations that is comfortable with working 100% remote. Very big plus to have experience working with LPL Financial and/or Charles Schwab. We custody client accounts at both custodians. I have been a Financial Advisor for over 35 years and currently rank in the top 15% of all producers at LPL Financial. Job Purpose: Provide Advisor with support in managing almost $100 million in client assets and assist with growing the assets under management to $250 million in the next 10 years. Essential Functions: 35% – Investment Analyst – Assist with researching and monitoring investments, comparing portfolios and running analysis on prospective client portfolios. 60% – Investment Operations – Create new accounts and move assets from other investment firms. Provide client service for existing accounts. Assist with investment trading and record keeping. 5% – Marketing – Plan client appreciation events and compliance reporting. Investment Analyst – 35%: Research stocks, mutual funds, ETF’s and assist with monitoring portfolio’s. Investment Operations – 60%: Create new account applications and account disclosure paperwork and work with clients to open accounts – (Brokerage & Advisory, Individual, Joint, IRA, 401(k), etc.) Work with the client to move assets from other institutions to LPL Financial or Schwab via rollover or ACAT transfer Communicate with clients Update Beneficiary Designations Update and network new accounts to client groups, performance report, and Salesforce CRM system Work with clients on moving money in and out of their accounts Run investment performance reports Coordinate annual client reporting with Third Party Administrator (TPA) on retirement plans – 401(k), Profit Sharing, and Defined Benefit Plans Use CRM to document every client interaction and follow up until completion Manage all compliance required items – incoming/outgoing correspondence, RIA compliance for Park Capital Group, Inc., Check Logs, Marketing and Advertising Review, etc. Assist with investment trading and recordkeeping. Marketing – 5%: Plan client appreciation events Work with vendors for event sponsorship and reimbursement Plan dinner event presentations – location, etc. Work with Compliance Department to get approval on relevant items Future Potential: As we continue to grow the business, you can have more and more contact working with our existing clients. Qualifications: Bachelor’s degree required Series 7 License – optional Series 65/66 License – optional Microsoft Office – Excellent – Especially PowerPoint and Excel Excellent verbal and written personal communication skills Strong attention to detail – Must be very meticulous Extremely organized to handle many different transactions with extensive experience using a Client Relationship Management System (CRM) – Use of Salesforce CRM is a plus Minimum of 3 years of experience in the brokerage, and/or financial services industry Be comfortable with working remote. Desire to continually learn new technology to increase efficiency Salary & Benefits: I will offer salary, bonus and 401(k) Plan. Park Wealth Management Information: I am looking to add a third person to complement our team of two people currently. If you are hired, you will be working closely with Sean. Thus, this is a small office environment. You will eventually be communicating with every client (verbally and email) to assist them with their wealth management needs. Park Wealth Management provides the following services to approximately 100 families: Financial Planning Investment Management Retirement and College Education Planning Risk Management – Life & Disability Insurance Products Estate Planning Please review my website or social media for additional information.