Broker Check

Operations Associate

Herbert Financial Group LLC (HFG) is headquartered in Auburn Hills, MI and has proudly served clients across the nation for over 37 years. Our experienced, dedicated advisory team handles over half a billion combined in advisory and brokerage assets for select families, corporate executives, and business owners. Client services include holistic financial plans, portfolio management, wealth transfer planning, risk management, estate planning and tax planning.

We are looking for a motivated, professional, and energetic individual to fill the role of Operations Associate within our company.

The Operations Associate plays a critical role in the back office. With responsibility for the day to day back office details and account preparation, the Operations Associate helps ensure that clients have a wonderful operations experience. He or she must take responsibility and resolve service problems as they arise and proactively monitor client’s accounts for issues.

Responsibilities, Activities & Delegation Authority

Prepare, follow-up on and process new account paperwork and transfers

  • Prepare paperwork based on client request or advisor recommendation
  • Monitor Docusign for completed paperwork and follow-up with clients regularly
  • Track status of transfers daily, update notes / utilize workflows and complete any follow-up needed
  • Meets with clients as needed to complete paperwork signing and obtain documents
  • Process paperwork mailed into the office by uploading to ClientWorks and/or submitting to direct business companies
  • Create opportunities in RedTail for new business to firm
  • Process checks received to LPL via remote deposit tool, save copies to client file and update opportunities and tasks in RedTail
  • Process checks for direct business - update branch blotter, save copies to client files, upload to ClientWorks and update opportunities and tasks in RedTail
  • Process and follow-up on Annuity Orders
  • Obtain Signature Guarantee when necessary and follow compliance procedure to update and process log

Additional Customer Service Activities

  • Review appointment dictation emails from advisors and places notes in CRM, completes required items and assigns follow-up actions as necessary to insure all items are completed.
  • Closes out appointments in Redtail with notes from Reps and assigns future actions as required
  • Answer client and prospects’ questions regarding paperwork
  • Make sure all phone calls and emails are returned by end of day
  • Answer overflow phone calls and emails
  • Monitor LPL Notifications regarding account transfers, CIPs, NIGO
  • Proposals and Fee Comparisons
  • New Account Paperwork
  • Beneficiary Changes
  • Withdrawals
  • Address Changes
  • Employment Update
  • PII Form
  • Log Annual Client Reviews
  • Trusted Contact Form
  • Model / Strategy Changes (MWP & SEI)
  • Update ClientWorks, LaserApp, and Redtail with client information

Additional Operations Focus Areas

  • Utilize workflows, templates and checklists to ensure processes are followed
  • Adapt to new technology and regulatory changes to proactively refine existing or create new workflows, templates and checklists

Knowledge, Skills & Abilities:


  • Excellent attitude and ability to motivate others and extraordinary client service orientation
  • Willingness to assist team members to ensure clients needs are met
  • Strong focus on getting the details right
  • Excellent organizational and time management skills
  • Ability to handle multiple tasks and stress in tight deadlines
  • Previous securities industry experience
  • Proficient in Microsoft Excel, Word, PowerPoint, and able to navigate financial technology and websites


$40,000 - $50,000 base pay + incentive based on experience. Safe Harbor 401k 3% non-elective employer contribution after 1 year. No Health Insurance but intentions to add in the near future.

Must sign confidentiality agreement and non-competition agreement.

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