Operations Associate

Personal Capital is a next generation financial advisor. Our award-winning free tools and mobile apps give you a complete picture of your net worth, and we offer comprehensive financial advisory services previously only available to the ultra wealthy. This combination of high-tech and high-touch drives our mission: to deliver truly personal and objective wealth management for the Internet and mobile age. Our management team is comprised of leading financial technology and e-finance executives, including former Intuit and PayPal CEO, Bill Harris.


We use technology to revolutionize the financial industry by making it more affordable, accessible, and honest. Our service starts with our free award-winning tools, which enable you to track your entire financial life in one place. We are a Registered Investment Advisor, which means we are held to the fiduciary standard. Our advisors work one-on-one with clients to help develop sound, long-term investing plans, and we charge a single, transparent fee on assets under management.


The Role: This is a rare ground floor opportunity for an investment operations professional to contribute to the downtown Denver expansion of San Francisco based Personal Capital’s client service and operations department.


The Operations Associate works directly with Personal Capital’s investment clients and Financial Advisors in a progressive thinking, technology focused environment.


Specific duties include, but are not limited to:

  • Facilitation and oversight of the establishment and transfer of new client accounts using cutting-edge
  • proprietary and third party technology solutions.
  • Handling of cash management functions including wire and ACH transfers.
  • Work with the Investment Committee and Financial Advisors to ensure client portfolios are appropriately implemented.
  • Liaise with our broker-dealer custodian on all client operational matters.
  • Liaise with our portfolio management provider on all client operational matters.
  • Interact with clients regarding account setup and operational matters through conventional communication methods as well as email, chat, and video conference.
  • Assist in the development and documentation of operational processes.

The ideal candidate will execute on standards that redefine the existing industry landscape, pushing the limitations of conventional boundaries through integration of technology and creative thinking. They will embrace the ability to participate in an organization with a reputation for customer-centricity and long-term client relationships. The ideal candidate will be flexible, as their responsibilities could change as the model is further developed and refined.


Desired Skills & Experience

  • A minimum of 2 years experience in financial services operations preferred.
  • Experience with all areas of the client operations aspect of investment advisory. Examples: (ACAT, IRA distributions).
  • Excellent operational, organizational and follow-up skills with the ability to manage and process complex operational work.
  • Current knowledge of investment products and services.
  • Compliance: Proven abilities to maintain appropriate policies & procedures for regulatory-driven requirements. Possesses a clean U4 record.
  • Remote Delivery: Exposure to web-based investment service delivery. Comfortable executing a remote-delivery service model -- paperless, branchless, cloud-based infrastructure – and delivering a quality client experience that is better than face-to-face.
  • Exceptional verbal, written and listening communication skills.
  • Strong interpersonal skills, team-oriented, and collaborative.
  • Ability to work at the tactical and strategic level.
  • Series 65 or equivalent preferred, but not required.


Location: Downtown Denver

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