New Accounts Tracking Coordinator

Who We Are:

SGL Financial is an established wealth management and financial planning firm serving the Buffalo Grove & Chicago, IL area for over 20+ years. We oversee appx. $600 Million in total assets and serve approximately 800 families in multiple financial services and divisions. Our core team beliefs & mission are: Our clients' financial security and peace-of-mind is always our #1 focus Over-attentiveness and client responsiveness is of the highest importance Passion and enthusiasm for financial and retirement planning is built into the core of every person here and everything we do It's not about the money, it's about connections, friendships, and relationships. Our clients are like family to us We offer a stable and growing company with leadership, support, training, and everything you need to succeed and grow your career. Overview The New Accounts Tracking Coordinator plays a vital role in supporting financial advisors and ensuring a seamless experience for our clients by managing and tracking all new business activity across life insurance, annuities, and fee-based accounts. In this role, you will be responsible for overseeing each case from submission through funding, policy issuance, and delivery—maintaining accurate tracking, proactively communicating with carriers and internal teams, and ensuring all applications and transfers are processed efficiently and correctly. You will serve as a key point of coordination between advisors, operations, compliance, and external partners to keep business moving forward. This position requires exceptional attention to detail, strong organizational skills, and the ability to manage multiple workflows simultaneously. Because the role involves frequent communication with advisors and third parties, professionalism, responsiveness, and clarity are essential. Key Responsibilities New Business Processing & Tracking Record new life insurance, annuity, and fee-based applications in the SGL Insurance Sales Tracker Track and enter AUM transactions, including: Applications Journal requests Roth conversions Transfers (received from compliance) Maintain accurate and up-to-date records of all applications and transactions Application & Case Management Monitor application status and update internal tracking systems regularly Communicate with carriers, up-lines, and internal stakeholders via phone and email throughout the application process Proactively update financial advisors on case status and progress Identify and resolve NIGO (Not In Good Order) applications by: Providing required forms and documentation Clearly outlining corrective steps for advisors Transfers & Funding Coordination Track transfer processes from funding institutions to new policies/accounts Request and monitor approvals for liquidation of client assets (e.g., Schwab accounts) Coordinate with internal investment operations team to initiate liquidations Follow up regularly on pending approvals and transactions Monitor availability of funds and assist with outbound transfer coordination Check Processing & Delivery Track and manage checks sent to carriers for funding applications Prepare FedEx shipments and maintain documentation (tracking numbers, check details) Store and organize copies of checks and shipping records in internal systems (Box, VFM) Ensure timely delivery and follow through until policies are funded and issued Policy Delivery & Documentation Obtain and distribute policy contracts to advisors and scheduling team Track Policy Delivery Receipts (PDRs) and update delivery status in tracking systems Maintain accurate delivery records in the SGL Insurance Sales Tracker Reconciliation & Reporting Perform reconciliation between

Sales Tracker and Life Commission Payments:

Update policy statuses (e.g., Inforce/Paid ) Record new paid policies and update cancelled/replaced policies Handle fee-based reconciliation: Confirm first billing events Update policy/account status to Complete - Inforce Record first billing dates and delivery receipt confirmations Ensure all systems reflect accurate and consistent data Process Improvement & Documentation Assist in updating the New Business (NB) Guide Identify opportunities to improve workflows, tracking, and communication processes Qualifications 1+ years of experience in wealth management, financial services, or insurance operations Strong understanding of: Basic Math Excel Experience with CRM systems, tracking tools, or financial platforms preferred Exceptional attention to detail and organizational skills Strong written and verbal communication skills Ability to manage multiple priorities and meet deadlines Proficiency in Microsoft Excel and Office Suite