Job Description

About Pennington Wealth Management Established in 1996 by Darrell Pennington, Pennington Wealth Management has earned a strong reputation in the financial advising space, with recognition from Forbes, Barron’s, and other respected industry publications. We are a close‑knit, high‑performing team driven by a passion for helping others and giving back to the community. Whether we’re in the office or volunteering together, our team shares a commitment to excellence and meaningful work. Learn more at penningtonwealth.com. Job Summary This role is instrumental in supporting the daily operations of a fast‑paced, collaborative financial planning office. As a member of our operations team, you’ll assist advisors and analysts with trading, account servicing, and operational tasks, while contributing to a multi‑year project to transition to a new trading platform. You’ll be a key player in ensuring accuracy, efficiency, and compliance across client accounts and internal systems. This position is with an Ameriprise Financial Franchise owner. Key Responsibilities Execute, monitor, and verify trades; serve as backup trader and sole trader on designated days Process client money wires, money movements, and investment applications Ensure previous day’s trades executed properly; research discrepancies and notify team leads Maintain records of executed trades in shared systems for tracking and compliance Answer trade‑related questions from Case Analysis, Case Managers, and Client Service Coordinators Assist with purchasing CDs and submitting annuity applications Help prepare for and execute rebalances (pre‑, during, and post‑process) Submit alternate investment paperwork and track outstanding cases Run reports in Vestmark and Thompson for advisors, analysts, and operations Support the setup of Donor‑Advised Funds (DAFs) and entity accounts (businesses, trusts, etc.) Review and process forms including beneficiary forms, POAs, new business, and client onboarding documents Coordinate with third‑party insurance companies to submit and follow up on applications Monitor and respond to communications from the home office regarding client accounts; collaborate with internal and external contacts to research and resolve client‑related cases, ensuring timely follow‑up and completion Track and manage transfer tasks weekly; ensure timely updates and resolution Assist with Holist plan data entry and reporting Collaborate with advisors and operations team on research requests (e.g., trust documents, third‑party inquiries) Provide meeting prep support for advisors, when needed Special Projects Participate in the firm’s transition to a new trading platform over the next 12–24 months Assist with testing, documentation, and process improvements Help ensure continuity and accuracy during system migration Qualifications Located in the Greater Houston Area 2+ years of experience in financial services operations or trading Strong understanding of financial products, account servicing, and compliance High attention to detail and ability to manage multiple priorities Excellent communication and organizational skills Proficiency in Microsoft Office Suite; experience with Navi Plan, Money Guide Pro, Vestmark, or Thompson is a plus Series 7 required. 66/63 and Group 1 required or willing to obtain within 3 months Bachelor’s degree or equivalent experience Positive attitude and a growth mindset Work/Life Balance We offer a supportive work environment that promotes a healthy balance between professional responsibilities and personal time. Team Culture Join a close‑knit, supportive team of motivated professionals who work together to achieve shared goals and maintain a positive, engaging environment. Growth & Advancement Opportunities Your career development is important to us. As you contribute to the team’s success, you’ll have opportunities to take on greater responsibility and advance within the firm. Autonomy And Responsibility Enjoy the freedom to manage your role with confidence and independence while being part of a team that supports your decisions and growth. Professional Development & Learning We offer a range of training programs and continuing education opportunities to help you enhance your skills and knowledge, keeping you at the forefront of the financial industry. Meaningful & Rewarding Work At Pennington Wealth Management, your work will have a lasting impact on our clients’ lives, helping them achieve financial security and success. Salary Range Competitive salary range starting at $50,000 to $70,000 per year, based on experience and qualifications. Benefits 401(k) plan with employer contributions up to 3% Health, dental, vision insurance with employer contributions; HSA contribution for high deductible plan Life insurance coverage of $50,000 fully covered by the company 8 paid holidays and at least 13 PTO days each year, with opportunity to earn more based on years of service Volunteer Time Off program Paid parking and mileage reimbursement when needed Quarterly team volunteering and social events; exciting team trip every other year EEO Statement Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law. Job Type Full‑time Seniority Level Entry level Job Function Finance and Sales #J-18808-Ljbffr Ameriprise Financial Services, LLC

Job Tags

Similar Jobs