Sparks Financial is a holistic wealth management firm, providing a top-notch experience to our valued clients. Our mission is to help people define, build, and enjoy prosperous lives, and we are honored to be a member of the Northwestern Mutual Private Client Group to bring this mission to life. We are recognized by Barron's, Forbes, and Denver Business Journal as one of the top wealth management firms in the country, managing over $1.5 billion for clients nationally. As we continue to grow, the ideal team player will have an impeccable attention to detail and seek ways to impact processes and clients. Learn more about our firm on our website.

The Role

As an Operations Associate, you will work with our team to support our financial services practice – with a focus on developing, fostering, and nurturing professional skills in our Investment and Planning departments. As our Operations Associate, you will be a valued team member who will have the opportunity to grow, learn and thrive in a supportive and collaborative environment.

Responsibilities of the Role

General Operations

• Monitor workflow items for attention and bring any time-sensitive action items forward, as-appropriate
• Track and update opportunities in our Client Relationship Management system
• Engage clients as necessary
• Ad-hoc operational projects as they arise

Investment Proficiency – area of operational focus

• Leverage client information to prepare, send and establish new investment accounts
• Process account maintenance and money movement requests
• Prepare proposals for registered representative's meeting with clients/prospects (Morningstar reports and Investor Policy Statements)
• Prepare account summaries

Planning Proficiency– area of operational focus

• Financial plan preparation
• Document gathering for case prep
• Facilitate advisory meeting consultations for plan guidelines

What You Will Bring to the Team

• A strong sense of collaboration as part of a goal orientated team with the ability to communicate effectively with individuals down the hall and around the community
• Demonstrated ability to handle the execution of confidential and time sensitive information
• Bachelor's Degree or equivalent secondary education. Equivalent relevant experience and training may be substituted.
• Colorado Life and Health Insurance Licenses required within first 30 days of employment
• FINRA registrations, Series 6/7 and Series 63 required within first 6 months of employment
• Long Term Care License required, or earned within determined frequency after hire

What We Provide

• Starting salary of $65,000 - $75,000 (contingent on industry experience) + quarterly bonuses
• Hybrid work environment with remote work on Tuesdays and Fridays after successful completion of introductory period
• Company paid industry licensing including study time and exam course material
• Paid Time Off, 11 observed holidays, and birthday day off
• Medical, Dental and Vision benefits
• 401(k) retirement plan with up to 4% match
• Employer-paid Short-Term Disability, Long-Term Disability, and Long-Term Care reimbursement
• Garage parking, wellness stipend, paid sabbatical, parental leave….and more

Sparks Financial provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, marital status, genetics, Veteran status, or other legally protected characteristics. In addition to federal law requirements, Sparks Financial complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

Sparks Financial will not discriminate or retaliate against applicants for failing to disclose wage rate history in accordance with applicable law.

Sparks Financial expressly prohibits any form of workplace harassment based on race, color, religion, marital status, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of Sparks Financial employees to perform their job duties may result in discipline up to and including discharge.