Job Description

Introduction:

Prosperity Capital Advisors, a rapidly growing, innovative financial services organization and SEC Registered Investment Advisor located in Westlake, Ohio, is looking to enrich its team with a top-flight Associate for Investment Operations and Transitions. We seek a high-energy, inspirational leader with a strong background in financial services to support and lead in the dual capacities of operations and transitions, enhancing our core processes and facilitating seamless onboarding and transition of financial service offices to our organization.

Job Accountabilities:

To help the company achieve its strategic objectives by providing quality support to the

Director of Investment Operations in handling a wide range of investment, operations, advisor/account administration services and executive support-related tasks while working independently, being exceedingly well-organized and flexible in supporting diverse people and programs as well as providing support to the external advisors in relation to investment communication and compliance supervision. Must possess extremely professional disclosure and sensitive material attributes.

Key Responsibilities:

· Support the Director of Investment Operations in managing a comprehensive range of investment and operational duties including account administration, client service, and executive support-related tasks, advisor onboarding and transitions.

· Submit all new account paperwork to all custodians used by PCA in accordance with account opening process.

· Ensure accurate and timely handling of all new account paperwork, asset movements, and electronic file setups, while maintaining continuous communication with advisors.

· Oversee account management functions including advisor/client account access and new account setups, ensuring adherence to SEC regulations and the Advisors Act of 1940.

· Assist with the full transition plan for onboarding offices, from initial documentation to final integration, ensuring all requirements are met and stakeholders are regularly updated.

· Develop and enhance transition processes, educating the team and implementing best practices to optimize resource allocation and client experience.

· Collaborate closely with business development and sales managers to prioritize and deliver a superior transition experience.

· Assure proper record keeping of account files in accordance with the Advisors Act of 1940 and in accordance with SEC regulations.

· Work closely with Orion Advisor Services to ensure thorough management and update of the database, all aspects of new and existing account set up maintenance, timely and accurate maintenance of billing and payout schedules, advisor information, quarterly account reporting and the account fee billing process.

· Timely and accurate management of user access to Egnyte Advisor Drive, communication of content changes, user support, and development and monitoring of RIA Back Office processes and procedures.

· Utilize technology effectively, working with tools like Orion Advisor Services for database management and portfolio accounting systems for accurate maintenance of billing, payout schedules, and quarterly reporting.

· Complete special assignments as assigned by the Chief Operations Officer and President of PCA.

· Other duties as assigned

Qualifications:

· Bachelor’s Degree in accounting, finance, economics, or a business-related field.

· Minimum of 2-4 years of experience in the financial services industry, with a preference for backgrounds in RIA firms or Broker/Dealer environments.

· 5+ years of proven experience in client service, business transitions, relationship management, or sales.

· Strong project management skills with the ability to manage multiple projects simultaneously.

· Proficiency in Microsoft Office Suite (Outlook, Word, Excel, PowerPoint), Adobe Acrobat, and familiarity with portfolio custodian software like Charles Schwab and Fidelity Wealth.

Personal Qualities:

· Exceptional organizational skills with a keen eye for detail and the ability to manage a variety of tasks in a fast-paced environment.

· This role will require regular phone communication.

· Strong communication skills, both written and verbal, with the capability to interact professionally across all levels of the organization and with external stakeholders.

· Demonstrated ability to maintain confidentiality and handle sensitive material with the utmost discretion.

· Inspirational leadership qualities and a team-oriented approach to handle challenges and drive business success.

Additional Information:

This is a remote position based in Charleston, requiring occasional direct meetings with the Director of Investment Operations, also located in Charleston.

Special assignments from the Chief Operations Officer and President as needed.

Ongoing research and coordination within the industry to stay ahead of trends and implement innovative solutions.

This role offers a unique opportunity to drive significant impact within a leading financial services firm by combining operational excellence with strategic transition management. If you are motivated by challenges and driven by the desire to be part of a winning team, we encourage you to apply.

Four Companies. One Vision.

C2P Enterprises is a holding company comprised of four distinct brands, each designed to simplify financial planning for advisors and the clients they serve. United by the vision to provide planning and financial products in the best interest of the client, each company offers education, training, resources, and tools to meet a client’s unique financial situation, along with access to an array of investment and insurance vehicles to help accomplish their goals. Learn more at https://c2penterprises.com

Prosperity Capital Advisors

Prosperity Capital Advisors is a planning-first, SEC-registered investment adviser (RIA) that equips advisors with an array of fee-based financial planning and investment solutions to meet their individual clients’ unique needs. It offers advisors a full-service investment platform for turnkey asset management as well as tools and resources to build holistic financial plans. Prosperity is custodian agnostic and provides affiliated advisors extensive support, advanced portfolio analytics and reporting, and investment product due diligence and selection.

Valor Capital Management

Valor Capital Management (Valor) is an SEC-registered investment adviser firm operating as a Turnkey Asset Management Program (TAMP). It has aligned with world-class investment managers to provide registered investment advisors an investment platform of core and specialized strategies to meet the unique needs of their advisors and clients.

By providing strategic management through a diverse lineup of core model portfolios alongside a customizable specialized offering of unique niche investment strategies and solutions, Valor helps RIAs and their advisors navigate the right investment offering, blended portfolio design, and operational implementation to meet the unique needs of their clients.

Clarity 2 Prosperity

Clarity 2 Prosperity is a financial training, coaching and IP development organization that offers financial advisors turnkey financial planning, practice management and marketing processes. Its mission is to help advisors shift from a transactional mindset to holistic planners who offer best interest advice by coordinating all areas of their clients’ financial lives including investments, insurance, tax, estate, Social Security, retirement income and healthcare planning.

Clarity Insurance Marketing

Clarity Insurance Marketing is a best interest-focused insurance marketing organization (IMO) that facilitates advanced product screening, selection and support for all lines of fixed insurance products, such as fixed and indexed annuities, single premium and traditional life insurance and asset-based long-term care products. It works to create efficient back-office support and quality service standards to help advisors issue new business quickly, accurately and effectively.

Job Type: Full-time

Benefits: