Operations Associate

About Us:

GROW Wealth Partners is a leading financial services firm dedicated to delivering tailored investment solutions and superior client experiences. We specialize in financial planning, wealth management and retirement distribution and pride ourselves on fostering a collaborative and innovative culture.

GROW Wealth Partners is partnered with Northwestern Mutual as it is a leading financial services company that provides financial planning services, life insurance, disability insurance, and long-term care insurance. Established in 1857, it is known for its mutual company structure, prioritizing policyholders over shareholders. With a strong emphasis on personalized financial strategies, the company combines expert advisors with digital tools to help clients achieve financial security and long-term growth.

GROW Wealth Partners also partners with Northwestern Mutual’s Private Client Group (PCG). PCG represents an elite community for advisors and firms that have the experience, expertise and tools to tailor advisory strategies and deliver best-in-class outcomes for clients.

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We are seeking a skilled, motivated, and experienced Operations Associate to join our team. The successful candidate will be responsible for managing critical aspects of client account operations, including new account opening, portfolio trading support, client service, and asset movement processing. This role requires excellent organizational skills, a client-first mindset, and the ability to thrive in a fast-paced environment.

• Facilitate the setup of new client accounts, ensuring accuracy and compliance with regulatory and company standards.
• Collect and verify required documentation, ensuring adherence to KYC/AML guidelines.
• Serve as a liaison between clients, advisors, and custodians to address inquiries and resolve issues related to account setup.

• Coordinate and process portfolio trades, ensuring timely and accurate execution.
• Monitor trade settlements and address discrepancies or trade breaks promptly.
• Work closely with portfolio managers and trading desks to ensure efficient workflows.

• Provide top-tier client support by addressing inquiries related to accounts, trades, and other operational matters.
• Collaborate with advisors and internal teams to deliver seamless client experiences.
• Troubleshoot and resolve client issues efficiently, maintaining professionalism at all times.

• Process and monitor asset transfers, contributions, withdrawals, and wires with precision.
• Ensure all asset movement transactions comply with internal policies and external regulations.
• Proactively communicate with stakeholders to ensure transparency and accuracy in asset movement activities.

• Pre-fill insurance applications/e-applications.
• Review insurance applications, conversions, and policy changes for completeness & accuracy.
• Arrange medical, paramedical and any exams necessary for underwriting.

• Help financial representatives expedite the underwriting process and follow up on requirements with clients.
• Responsible for obtaining the reporting requirements for issued policies.
• Servicing of existing client policies including but not limited to beneficiary changes, bank account information changes, processing death claims or policy surrender.

• 2+ years of experience in investment operations, financial services, or a similar role.
• Strong understanding of financial products, trading processes, and account operations.
• Excellent analytical, problem-solving, and organizational skills.
• Proficiency in financial systems and tools (e.g., custodial platforms, trading systems, and CRM software).
• Exceptional communication skills, with the ability to work collaboratively across teams.
• Must be able to pass a basic background screening for the securities industry.

• Securities Industry Essentials (SIE) certification required.
• Series 6/7 and Series 63 or…