SCOPE You are responsible for performing necessary work to support the Profinium Wealth Management team. You field service calls regarding investments, documents, & coordinate meetings with Profinium Wealth Management s internal & external clients. You prepare reports, organize & distribute packets & take meeting minutes for Profinium Wealth Planning Committee quarterly meetings. You provide support & service that creates an AMAZING client experience! ACCOUNTABILITIES Investment Department Support - 80% *You provide assistance for the Head of Wealth Planning and the Wealth Planning team in all daily operations. *You complete applications, scan & mail documents. *You create, organize & maintain files for new clients, review files for obsolete or closed status & archive accordingly while upholding complete confidentiality of information processed. *You assist with the preparation of portfolio analysis reports; cost basis, spreadsheet analysis, proposal material & sales presentations. *You mail deposits & proactively follow the standard Cetera operations procedures for new accounts, new investments, investment sales & all other activities including but not limited to: updating & maintenance of the customer list, C2C list, paperwork sent log list, birthday card spreadsheet & call back schedule. *You assist in coordinating, scheduling & preparing materials for meetings, seminars, & internal presentations for Wealth Planning including budgeting time, determining associated costs, & coordination of external speakers. *You assist with non-standard client reporting requirements including utilizing accounting reports & shadow posting of assets held outside of Profinium s custody. *You review & run reports *You prepare monthly PWP income/AUM reports & monthly fee estimates for CFO Compliance - 10% *You follow up with requests on compliance issues, documents due, account transfers, miscellaneous debits & missing account information in a timely manner. *You maintain files in accordance with FINRA regulations, policies & procedures *You maintain & update literature & prospectus as needed, as well as general filing *You assist with Reg 9 Administrative & Investment Reviews, audit review & internal compliance testing Other - 10% *You complete special projects as assigned. *You comply with industry regulations & applicable laws as well as organization policies, systems, process & procedures with a strong commitment to the overall direction & focus of the organization. *As a part of the overall team of bank employees, you may be requested to assist in the support of other bank activities. *You promote the AMAZING positive & energetic environment at Profinium by embracing our Purpose, Pledge & Pursuits (P3 s) & Core Values to guide your behavior. While performing the duties of this job, you are regularly required to move about inside the office to access file cabinets, office machinery, attend meetings, etc. You have the ability to operate a computer, carry, handle & feel objects; reach with hands & arms; communicate effectively & efficiently in person & over the phone. You must occasionally lift &/or move up to 25 pounds or more with assistance. You have the ability to travel to other locations as needed. Specific vision abilities required include close vision, distance vision, peripheral vision, depth perception & the ability to adjust focus. The requirements listed above are representative of the knowledge, skills &/or abilities required for this position. Reasonable accommodations can be made to enable individuals with disabilities to perform the essential functions of this job. This document is intended to describe the general content & performance requirements of this position. It is not to be construed as an exhaustive statement of duties, responsibilities or requirements & does not imply a contract. Other duties may be assigned. Profinium has the exclusive right to alter this job description at any time without notice. Profinium, Inc. i an Affirmative Action/Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability, veteran status or any other characteristic protected by law Profinium, Inc. ( Profinium ), may use third-party websites to post employment opportunities. Profinium is not involved in the actual transaction between employment applicants and any third-party website. Authentication on the Internet is difficult; therefore, Profinium cannot and will not confirm that third-party websites are safe and secure with personal information, such as a social security number. Accordingly, Profinium discourages candidates from sharing personally sensitive information with third-party websites. Because Profinium cannot be involved in user-to-user dealings or control the behavior of employment applicants on third-party websites, in the event that you have damages from sharing personally sensitive information with a third-party website, you release Profinium (and our agents and employees) from claims, demands, and damages of every kind and nature, known and unknown, suspected and unsuspected, disclosed and undisclosed, arising out of or in any way connected with such damages. Profinium is under no legal obligation to, and do not, control the information provided by applicants made available through third-party websites. Profinium expects that you will use caution and common sense when using third-party websites while applying for employment opportunities.