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Available Positions (1)


Summary of Essential Duties

The Operations Associate is responsible for instituting systems and procedures for successful operations in the firm, as well as for end-to-end processing and servicing of insurance and customer transactions. The Operations Associate fulfills the necessary operational duties to ensure efficient back office support, as well as the expediency, accuracy and efficiency in client account servicing.


A successful Operations Associate will:

  • Work to support smooth day-to-day operations and increase operational efficiency of the firm, taking delegation and direction from senior associates, COO, and senior firm leadership
  • Produce high client satisfaction rates through excellent customer service, prompt follow-up to client issues and proactive problem solving

 General Administrative

  • Assist senior team members with coordination and implementation of firm projects to ensure timely completion
  • Provide daily updates to advisors for client meetings regarding relevant new paperwork and data
  • Complete back-up duties as needed for Operations team members who are absent
  • Provide backup phone and office support

 Client Service

  • Act as a primary point of contact to resolve basic customer matters and troubleshoot issues with transfers and client transactions
  • Prepare paperwork and documents for securities and insurance, including annual insurance premium letters
  • Process monthly distributions according to instruction
  • Submit check requests where instructed
  • Prepare error reports and communications, working with advisors to resolve all issues


  • Process all change of address or change of beneficiary forms
  • Process RMD (Required Minimum Distribution) requests
  • Process deposits, withdrawals, wire instructions and ACH debit / credit, according to instruction
  • Process death claims as appropriate
  • Prepare cost basis calculations
  • Prepare bank draft changes for insurance and investment accounts
  • Prepare quarterly company performance reviews for 401(k) plans
  • Monitor and prepare cash lists
  • Oversee CRM data entry to monitor updates, ensure that all data is being entered by team members correctly
  • Track and report key performance indicators
  • Assist senior team members in the design and implementation of operations procedures, standards of practice and work flow adjustments
  • Assist with strategic projects and overall task management for sales team

 Insurance and Investment Management Responsibilities

  • Create all required paper work for new insurance applications
  • Monitor and manage insurance underwriting process
  • Monitor and manage annual premium payment letters/funding
  • Perform advisor supervised and directed trades for applicable accounts
  • Process transfers initiated by advisors
  • Help to prepare investment-related Requests for Proposals and contracts
  • Create Asset Summary documents for client meetings
  • Ensure client Personal Financial Websites are up to date and linked
  • Ensure that client portfolios are maintained according to the client IPS
  • Work with custodians to provide documentation on procedures, commission rates, etc.

Knowledge, Skills & Attributes

  • High School Diploma required; Bachelor’s degree preferred
  • Minimum 5+ years related industry experience
  • Intermediate to advanced computer skills, including knowledge of the Microsoft Office Suite and internet search and research capabilities, with the ability to improve these skills with time and training
  • Ability to learn new technology software and programs quickly with appropriate training and resources
  • Strong problem resolution skills with the ability to be detail-oriented and accurate
  • Self-motivated with the ability to handle a heavy workload and work both independently and under direction
  • Exceptional oral, written and interpersonal communication skills
  • Uncompromised ability to maintain confidentiality and integrity
  • Positive attitude and energetic willingness to learn and cooperate
  • Professional appearance and demeanor

 Additional Comments 

Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time.


Send resume and cover letter to c.crumley@capitalamg.com

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