So … who is CreativeOne Wealth?

In a nutshell, we help independent financial advisors be the best they can be. As a full-service wealth manager and fiduciary, it is our duty to recommend strategies that we believe are the best for our clients and their unique situation.

What’s it like to work here?

Well, we definitely work hard. But it’s with people you respect and enjoy working with, so that makes the job worth coming to every day. And yep, we’re big believers in being in the office for collaboration and let’s be honest, the camaraderie.

Here, it’s a work climate that respects you and your life outside of the office. You’ll push toward a common goal with some of the industry’s most talented sales teams, the best service teams you can imagine, marketing aficionados, and really, a multitude of individuals who know their stuff who you can learn from as you move forward in your career.

 The Advisor Services Specialist is responsible for the review of requests submitted to the Wealth Operations team via a shared inbox or through the shared phone queue and operations projects as they arise. This position will troubleshoot day to day problems/issues pertaining to new and existing accounts and clients that require a high attention to detail or complicated resolution.

RESPONSBILITIES:

• Assist advisors on requests such as opening accounts, moving money, completing paperwork, running reports, entering trades, etc.
• Resolve issues by working directly with custodians, advisors, and internal team members.
• Communicate on a regular basis with advisors and serve as the liaison between advisors and the custodians (Schwab and Fidelity).
• Work effectively within a small team-oriented operations department.
• Train advisors and their staff across multiple platforms.

PREFERRED SKILLS AND KNOWLEDGE:

• 3+ years of experience in financial services (TAMP/RIA strongly preferred).
• Bachelor’s Degree (Finance, Accounting, Business or Economics degree preferred)
• Experience in a fast-paced environment and ability to prioritize in order to meet tight
• Exemplary problem-solving and organizational skills with the ability to work autonomously and proactively meet client needs.
• Extreme attention to detail and a proven high level of accuracy in work product are expected.
• Experience working with a large custodian (e.g. Charles Schwab, TD Ameritrade, Fidelity, Pershing) required.
• Series 65, 7, or insurance license strongly preferred

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

CreativeOne provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

About Us

At KC Financial Advisors, we are in the business of building confidence and trust throughout the lifelong relationships we cultivate with our clients.  With personalized strategies built around financial planning, estate considerations, tax planning, risk management and investment management, we provide clients with peace of mind by aligning their lives to their wealth.

Client Service Associate

RIA-owned wealth management firm seeks Client Service Associate to support Operations Team by providing professional and efficient support and service to firm clients and employees. We are looking for a team player and resourceful problem solver; a patient person for whom no task is too small to ensure the overall satisfaction of an aging client base. This is not a remote or hybrid position; the majority of our work is done in the Corporate Woods office, where client meetings are held.

Responsibilities

• Collaborate under the direction of the Operations Manager to follow-through with paperwork processing efforts.
• Assist in new client onboarding efforts, providing input to contribute to the future growth of the firm.
• Database entry and maintenance within CRM (Redtail).
• Greet clients entering the office and over the phone. Forward client calls and other messages to all applicable recipients.
• Respond to client service requests and provide client service support.
• Assist with marketing projects and event planning, as assigned. Ability to research and coordinate vendors, making selections based on creativity, quality and cost.
  • E.g., Organize and prepare materials for Advisor seminars and other speaking engagements. Schedule guests and follow-ups, as needed.
• Schedule semi-annual reviews with clients, then document follow-up tasks to those meetings in CRM (Redtail).
• Contribute to an excellent client experience for our clients, building and maintaining client relationships.
• Provide general administrative duties for the office as assigned, including mail and package preparation and distribution, mass mailing preparations starting with compliance review, ordering office supplies, organizing the supplies and file room, faxing, copying, and scanning.
• Perform administrative tasks related to tax season, including collecting financial statements, prior year tax returns, and other Tax Forms to facilitate current year tax return filing with our partner office.
• Responsible for light housekeeping duties such as re-stocking the refrigerator and reception refreshment station for client enjoyment, ensuring conference rooms are maintained in presentable order and communicating any issues with Corporate Woods building maintenance staff.
• Continue to expand knowledge across all departments of financial planning, including investments, education planning, insurance, tax, retirement analysis and estate planning.
• Achieve proficiency in relevant technologies including, but not limited to: Financial Planning software, Questionnaire/Fact Finder software, CreativeOne Wealth platform for performance reporting, Redtail CRM and Schwab Advisor Services platform.

Knowledge, Skills, and Abilities

• High school diploma or equivalent required. Associate or bachelor’s degree preferred.
• Minimum of 2 years of work experience in an administrative role preferred.
• Excellent Microsoft Office and technical skills.
• Exceptional communication skills.
• Ability to handle multiple tasks and prioritize daily activities.
• Track record of professionalism, adaptability, attention to detail, and time management.

Preferred Knowledge/Experience

• Experience in the Financial Services industry.
• Series 65
• Self-starter looking for ways to grow and add value within the firm and shape the future of its operational activities. There will be opportunities to grow over time for the right person.

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

CreativeOne Wealth/KCFA provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

So … what do we do at CreativeOne?

In a nutshell, we help independent financial advisors be the best they can be. Whether that’s finding the right strategy for their client, the perfect product, concepting marketing materials, or delivering great operations service, our job is to make them shine bright for their clients.

 What’s it like to work here?

Well, we work hard. But it’s with people you respect and enjoy working with, so that makes the job worth coming to every day. And yes, we’re big believers in being in the office for collaboration and let’s be honest, the camaraderie.

Here, it’s a work climate that respects you and your life outside of the office. You’ll push toward a common goal with some of the industry’s most talented sales teams, the best service teams you can imagine, marketing aficionados, and really, a multitude of individuals who know their stuff who you can learn from as you move forward in your career.

 Position Purpose

The Annuity service specialist role is responsible for high-end troubleshooting problems/issues pertaining to annuity new business, contracting and service, while providing stellar service support to the annuity sales force.

Job responsibilities and accountabilities include, but are not limited to:

• Provide annuity case follow-up in a timely and accurate manner, giving careful attention to details to detect, correct, and prevent problems
• Communicate via telephone and e-mail with annuity carrier home offices and transfer companies according to the established service level agreements and service processes.
• Handle problems in a timely, confidential, professional, and thorough manner
• Prioritize and respond to service requests from Annuity Sales Consultants and agents in a timely and professional manner
• Enter all required information into the CreativeOne database, in a timely manner
• Provide training to new team members and on-going training to existing staff
• Work and maintain the “service queue” and respond to incoming agent inquiries from the “dedicated hunt group”
• Walk agents through Contracting processes and follow up with carriers until the producer is active and submits their first case
• Handle any case below $300,000 start to finish.
• Provide back-up to other service groups
• Special projects, as needed

Core Competencies

Customer Focus

• Considers customers’ needs as the primary guide in decision-making
• Regular follow up via email, telephone or whatever means appropriate to make sure customer needs are met
• Displays confidence and a willingness to take ownership of a request or problem
• Does not promise more to customers than can be delivered

Teamwork

• Develops and maintains effective working relationships with manager, peers, internal and external customers
• Participates actively in development of team goals and plans; ultimately supports team decisions
• Works diligently to achieve team goals
• Keeps team members abreast of individual progress and shares information

Leadership

• Deals openly and honestly with others; accepts responsibility for personal decisions and actions
• Lives up to individual, team, and customers commitments; actions are in line with stated standards

Communication

• Demonstrates strong verbal skills
• Participates in group meetings; provides thoughtful and appropriate comments
• Practices good listening skills by seeking clarification and checking for understanding
• Demonstrates respect, courtesy, tact, and cooperation in interaction with others
• Uses appropriate interpersonal skills when meeting with people at different levels, positions, and backgrounds

Behavioral Competencies

• Takes personal responsibility for words and actions
• Maintains consistency between words and actions
• Acts in compliance with department, company and industry standards
• Demonstrates commitment and professionalism to internal and external customers

Preferred Qualifications

• General office skills such as:  mail processing, filing, copying, data entry, scanning, indexing, etc.
• Bachelor’s degree, or equivalent experience
• Experience handling complex service issues
• Must have great telephone and customer service skills
• Excellent organization skills and detail oriented
• Must be a team player
• Strong work ethic; effective in a dynamic environment
• Ethical, with the highest standards of personal and professional integrity
• High level of energy and enthusiasm

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

 CreativeOne provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

The Workflow Processor is responsible for the review of all email communication received in the Contracting Service, Service First and Life Inboxes received by CreativeOne.  This position identifies the individual requests from our producers and affiliated companies assigns them in a timely manner, to the writing designated sales support team.

Duties and Responsibilities include, but not limited to:

• Review and assign all agent requests, missing items, new applications, post issue items and communication received from our carriers.
• Contact producers, to obtain any missing information and requirements necessary to complete applications and contracts.
• Enter required information into the CreativeOne CRM, in a timely and thorough manner.
• Staying up to date on changing carrier forms and rate changes.

Critical Skills Sought

• Attention to detail.
• Excellent verbal and written communication skills. This position works in a customer service capacity.
• Strong sense of teamwork to accomplish departmental objectives.
• Ability to multi-task, while providing exceptional service to agents, carriers and teammates.
• Complete tasks within daily deadlines in a fast paced environment.
• Team Work
  • Develops and maintains effective working relationships at all levels.
  • Participates actively in development of team goals and plans; ultimately supports team decisions.
  • Works diligently to achieve team goals.
  • Keeps team members abreast of individual progress and shares information.

• Communication
  • Demonstrates strong verbal skills.
  • Participates in group meetings; provides thoughtful and appropriate comments.
  • Practices good listening skills by seeking clarification and checking for understanding.
  • Demonstrates respect, courtesy, tact, and cooperation in interaction with others.

Qualifications

• Comfortable working in a Microsoft Office environment.
• Experience with general office technologies, such as: scanning, email, fax, website navigation, uploading documents.
• Minimum High School Diploma, or equivalent required.
• Insurance industry background is desired.

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This description covers the major purpose and major functions of the job.  It is not intended to give all details or a step by step account of the way each task is to be performed.  Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor.  All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

Position Summary

The Compliance Specialist will assist the Chief Compliance Officer in keeping our registered investment advisory firm compliant with federal securities laws through establishing and enforcing controls, best practices, and ethical standards. This position will assist in implementing and coordinating the compliance functions throughout CreativeOne Wealth.  The Compliance Specialist will use knowledge and skills obtained through education, specialized training and/or certification to assist the CCO in supervising a comprehensive compliance and oversight program designed to ensure compliance with all applicable regulatory requirements.

Duties and Responsibilities include, but not limited to:

• Coordinates the onboarding of new investment adviser representatives (“IARs”), which includes performing background checks of new IARs and drafting of Form U-4s, ADV 2Bs.
• Actively monitor and review IAR requests, such as Outside Business Activities and Gifts & Entertainment, submitted via compliance management tool.
• Implement updates to IARs Form U4 and ADV 2Bs as needed.
• Oversee offboarding of IARs by drafting Form U5s and disabling IAR access to compliance systems.
• Enhance and maintain the organizational and record-keeping processes of IAR files and other compliance related folders.
• Assist with supervision of IARs’ written communications, personal trading, investment recommendations, and other activities, such as Branch Exams.
• Assist with the development and delivery of ongoing compliance training for IARs.
• Assist in periodically reviewing and testing written compliance policies and procedures.

Critical Skills Sought

• Strong work ethic and hands-on approach.
• Positive attitude.
• Adaptability to a frequently evolving work environment.
• Customer and business-centric and collaborative mindset.
• Proven ability to communicate effectively at all levels of an organization.
• Strong organizational skills and ability to set and meet deadlines in a high paced environment.
• Eagerness to learn SEC regulations and the Investment Advisers Act of 1940

Preferred Background/Experience

• BA/BS;
• FINRA licenses 65 or 7/66; series 24 a plus.
• Minimum of 2 years’ professional experience as a compliance professional at a broker-dealer, investment advisory or similar firm.
• Familiarity with set up and administration of compliance management software tools, such as MyComplianceOffice,and Smarsh a plus.

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This description covers the major purpose and major functions of the job.  It is not intended to give all details or a step by step account of the way each task is to be performed.  Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor.  All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.