Financial Services Application and Case Processor

Work Setup: Onsite
Employment: Full Time

Position: Financial Services Application & Case Processor

The client Network’s financial advisors work with families across inherited IRAs, life insurance claims, estate settlements, retirement income planning, and Medicare navigation. Behind every client engagement is a structured case management and application processing workflow — ensuring that paperwork is accurate, submissions are timely, and families’ financial transitions are handled without costly delays or errors.

This role owns the processing and coordination of financial service applications, insurance claims, account transfers, and estate-related documentation — working directly with the client’s advisors, custodians (Charles Schwab, Fidelity), and the Simplicity Group back-office to ensure every case moves efficiently and compliantly through the pipeline

Key Responsibilities

• Process and submit financial service applications including inherited IRA transfers, life insurance claim forms, annuity applications, and investment account openings through the client’s advisor platforms
• Manage in-flight cases end-to-end — tracking application status with custodians (Charles Schwab, Fidelity), insurance carriers, and the Simplicity Group back-office
• Identify and resolve NIGOs (Not in Good Order) — contact clients or advisors promptly to obtain missing information or corrected documentation
• Coordinate with Simplicity Group’s back-office infrastructure and product access team for application support and escalations
• Maintain up-to-date case status logs in the client’s CRM and practice management tools

Document Review & Compliance

• Review submitted application packages for completeness, accuracy, and regulatory compliance before submission to custodians or carriers
• Ensure all required client signatures, beneficiary designations, and supporting documents are present and valid
• Apply working knowledge of common financial document requirements: transfer forms, LOAs (Letters of Authorization), beneficiary forms, 1099-R rollover documentation
• Flag compliance risks or incomplete disclosures to the supervising advisor or compliance contact

Client & Advisor Coordination

• Serve as the operational point of contact for advisors on active cases — providing status updates, resolving paperwork issues, and escalating delays
• Communicate directly with families (under advisor supervision) to collect missing documents or signatures
• Coordinate with funeral home partners and the client’s network professionals (attorneys, CPAs, Medicare agents) when multi-party documentation is required
• Maintain professional, sensitive communication with families who are managing estates or financial transitions after a loss
  
  

Qualifications & Requirements

• Minimum 2 years of financial services operations, insurance case processing, or brokerage/investment back-office experience
• Application processing experience required: inherited IRA transfers, life insurance claims, annuity applications, or investment account paperwork — describe specific products processed
• Familiarity with custodian platforms such as Charles Schwab Advisor Services, Fidelity, or equivalent
• Understanding of NIGO resolution processes and financial document compliance
• Exceptional attention to detail — a missed signature or incorrect date can delay a family’s estate settlement significantly
• Clear written and verbal English for advisor and client-facing communication