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Operations Associate

About Us: Good things happen when technology and financial service veterans come together.

The founders of Personal Capital have one goal in mind: transforming financial lives through technology and people. That’s why we’re blending cutting edge technology with conflict-free financial advice. We believe this is the best way to empower individuals and their money.

Our free online tools combine all of your accounts in one place. A powerful dashboard provides deep insights and allows you to understand your total financial picture. Our expert advisors use these same tools to provide personalized wealth management that dynamically evolves with your changing life. As fiduciaries, we are legally bound to act in your best interest. With an emphasis on holistic planning, risk management, and after-tax returns, the focus is always on total value.

With our client-centric business model, Personal Capital is fundamentally altering the traditional financial services landscape.


The Role: This is a rare ground floor opportunity for an investment operations professional to contribute to 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 Dallas

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