Executive Assistant

• Confirm appointments
• Schedule meetings
• Scan documents and upload virtual files
• Print, assemble & mail portfolio reports, invoices and correspondence
• Send out birthday cards/gifts and update compliance logs
• Track and update CE (Continuing Education) credits

Portfolio Management

• Place & follow up on trades
• Run portfolio reports
• Update client database and other software as needed on Portfolio Management systems

Operations

• Process & follow-up on new account applications and transfers
• Process & setup new clients in custodian systems and advisor databases
• Handle account administration problems for clients
• Handle cashiering and other money movement requests
• Check current account values for clients with recurring withdrawals
• Cost Basis reports
• Terminate client/advisor relationships & process refunds
• Prepare & send monthly/quarterly invoicing and deduct fees from client accounts
• Answer accountant and attorney requests for client information
• Answer incoming client calls
• Year End Tax Planning
• Setup Required Minimum Distributions (RMD) for retirement accounts
• Tax Reporting
• Setup recurring IRA contributions

Marketing

• Print, assemble & mail marketing packets
• Create & send out DRIP marketing program
• Website maintenance & updates
• Online social networking (working with marketing staff)

Compliance

• Review compliance manuals
• Review & update compliance logs and forms
• Coordinate with compliance to update and send annual ADV and Privacy Policy notices

Bookeeping

• Balance checkbook and update accounting records
• Pay bills and taxes

Reporting

• Prepare materials for client meetings
• Prepare & send quarterly portfolio reports

IT Support

• Basic office software troubleshooting
• Cloud service troubleshooting and training
• Cloud e-mail and office solutions
• Mobile device configuration and troubleshooting
• Security awareness training (offered 2x per year)
• Security software installation and configuration
• Proactive threat monitoring and reporting
• Basic system & network monitoring and remote support access with end-user alerting
• SPAM & Antivirus E-mail Gateway
• Indefinite e-mail Archiving and Retention
• Full hard drive encryption
• Project consulting, design and implementation
• Backup services