Job Description
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 about our culture 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.
Key Responsibilities
Trading & Account Services
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
Our Commitment to You:
Genuine Work/Life Balance:
We offer a supportive work environment that promotes a healthy balance between professional responsibilities and personal time.
Collaborative & Positive 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.
Comprehensive Compensation & Benefits:
Salary Range:
We offer a competitive salary range starting at $50,000 to $70,000 per year, based on experience and qualifications.
Retirement & Financial Security:
Our company offers a robust benefits package designed to support your financial and health needs.
We provide a 401(k) plan with employer contributions up to 3%, ensuring you can build a secure retirement.
Our comprehensive health and insurance benefits include employer contributions towards premiums for health, dental, and vision insurance, covering both individuals and families. If you opt for a high-deductible plan, we also contribute to your Health Savings Account (HSA).
Additionally, we offer life insurance coverage of $50,000, fully covered by the company, to provide peace of mind for you and your loved ones.
Generous Paid Time Off:
Enjoy 8 paid holidays and at least 13 PTO days each year, with the opportunity to earn more based on your years of service.
Additionally, our Volunteer Time Off program encourages you to give back to communities in need.
Additional Perks:
Enjoy the convenience of paid parking and mileage reimbursement when needed.
Get ready for quarterly team volunteering and social events that bring us together and make a difference.
Plus, look forward to an exciting team trip every other year, creating unforgettable memories and strengthening our bonds!
Why Join Us:
At Pennington Wealth Management, you'll be part of a supportive and collaborative team that values dedication, continuous learning, and personal growth. If you're ready to bring your expertise and enthusiasm to a company committed to its clients and community, we'd love to meet you!
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
This position is with an Ameriprise Financial Franchise owner.
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.
Full-Time/Part-Time
Full timeEstablished 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 about our culture 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.
Key Responsibilities
Trading & Account Services
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
Our Commitment to You:
Genuine Work/Life Balance:
We offer a supportive work environment that promotes a healthy balance between professional responsibilities and personal time.
Collaborative & Positive 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.
Comprehensive Compensation & Benefits:
Salary Range:
We offer a competitive salary range starting at $50,000 to $70,000 per year, based on experience and qualifications.
Retirement & Financial Security:
Our company offers a robust benefits package designed to support your financial and health needs.
We provide a 401(k) plan with employer contributions up to 3%, ensuring you can build a secure retirement.
Our comprehensive health and insurance benefits include employer contributions towards premiums for health, dental, and vision insurance, covering both individuals and families. If you opt for a high-deductible plan, we also contribute to your Health Savings Account (HSA).
Additionally, we offer life insurance coverage of $50,000, fully covered by the company, to provide peace of mind for you and your loved ones.
Generous Paid Time Off:
Enjoy 8 paid holidays and at least 13 PTO days each year, with the opportunity to earn more based on your years of service.
Additionally, our Volunteer Time Off program encourages you to give back to communities in need.
Additional Perks:
Enjoy the convenience of paid parking and mileage reimbursement when needed.
Get ready for quarterly team volunteering and social events that bring us together and make a difference.
Plus, look forward to an exciting team trip every other year, creating unforgettable memories and strengthening our bonds!
Why Join Us:
At Pennington Wealth Management, you'll be part of a supportive and collaborative team that values dedication, continuous learning, and personal growth. If you're ready to bring your expertise and enthusiasm to a company committed to its clients and community, we'd love to meet you!
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
This position is with an Ameriprise Financial Franchise owner.
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.
Full-Time/Part-Time
Full time
About Ameriprise Financial
For 125 years, we have remained true to our vision of putting our clients' interests first. We are passionate about helping you live the full and rich life you’ve earned and committed to helping you be brilliant.
A company with integrity.
Integrity has been a core value since we were founded by John Tappan in 1894. It's how, through panics, recessions, the Great Depression, and the recent Great Recession, we've grown into a global financial leader. We've never lost our focus on our clients. That's who we are.
We have more than $875 billion in assets under management and administration.
We maintain leadership positions in each of our core business segments: Advice & Wealth Management, Asset Management, Annuities, and Protection.
We have more than 2 million individual, business, and institutional clients.
Our Leaders
Part of our strength as a company comes from the strength of our leadership—an experienced and long-tenured team.
Our Locations
Ameriprise Financial was founded and is headquartered in Minneapolis. We also have corporate offices throughout the United States and across the globe, including New York, Boston, London, and India.
Our History
Since 1894, we at Ameriprise Financial have been helping millions of clients invest towards their financial goals and dreams.
Related Jobs
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
As a Store Manager Trainee, you'll train on all aspects of successfully running a store in preparation for running for your own store. You'll be involved in supervising day-to-day store activities, en...
Enhance the ALDI customer shopping experience in a collaborative team environment as an ALDI Cashier or Stocker. As a member of our team, you'll be operating the registers or other machinery, stocking...
Ameriprise Financial would like you to finish the application on their website.
