We are seeking a highly organized and detail-oriented New Business Processor within the Financial Services sector to join our dynamic team. This person will be an experienced licensed Series 7/Series 66 or a Series 65 professional with strong soft skills. An independent, highly proactive admin, with sound judgement to help free the senior staff for advanced planning.

This role is essential in supporting the firm. Facilitating smooth client onboarding for new client accounts. The ideal candidate will possess a strong understanding in Roth IRA, Fixed Annuities, AUM, new business documentation, financial compliance, and supporting our commitment to exceptional customer service. This position offers an opportunity to work within a fast-paced environment that values accuracy, compliance, and client satisfaction.
The ideal candidate will possess a strong foundation in financial concepts, industry knowledge of financial regulations, and excellent communication skills. Your contributions will directly support our commitment to operational excellence, regulatory compliance, and exceptional client service to high end clients.

Key Responsibilities:

• Review and process new client applications, ensuring accuracy and completeness
• Verify client identities in accordance with fraud prevention and detection protocols
• Case Management: Manage operational flow for annuity applications, advisory accounts, paperwork, onboarding, estate planning cases, rollovers, transfers, client service requests.
• Collaborate with internal teams to facilitate trade settlement and cash management activities
• Maintain detailed records of new business transactions using spreadsheets and financial software
• Follow-up, new annuity business. new advisory clients. Conduct data analysis using Excel pivot tables and other databases to identify discrepancies or risks.
• Attend and assist in the successful execution of client events, seminars, workshops, etc. Manage attendee lists and follow up with attendees, as needed, after events.
• Communicate effectively with clients to clarify information and provide updates on application status
• Assist in internal communication efforts to streamline business operations and improve workflows
• Contribute to team leadership initiatives by sharing insights on financial concepts and industry best practices
• Proven experience in financial services, investment management, or banking operations.
• Hands-on experience with financial software, spreadsheets, pivot tables, and SQL databases.
• Knowledge of GAAP, governmental accounting standards, and regulatory reporting procedure.
• Demonstrated ability to manage multiple tasks efficiently within a fast-paced environment
• Excellent interpersonal skills for client communication and team collaboration
• Familiarity with fixed income markets, trade settlement processes, and cash management practices
• Prior experience in fraud prevention, securities law compliance, or financial regulatory environments is preferred