Job Title:
Investment Operations Associate
Job Description:
Key Responsibilities
· Prepare and process new account paperwork for institutional and HNW clients, including annuity accounts.
· Ensure all documentation meets regulatory and internal compliance standards.
· Set up and maintain client accounts within portfolio management systems.
· Execute trades based on analyst recommendations or at the direction of advisors/clients.
· Manage routine client service requests including account access, distributions, and information delivery.
· Initiate and facilitate transfers of cash and securities.
· Receive and direct client checks to appropriate vendors or custodians.
· Calculate and process annual IRA distributions.
· Generate client proposals using financial planning software.
· Communicate professionally and regularly with clients, custodians, vendors, and internal stakeholders.
· Complete ad hoc projects and provide operational support as needed.
Company Requirements:
· Prior experience in investment or financial planning operations required (or relevant industry equivalent).
· Bachelor’s degree required.
· FINRA SIE, Series 7 and Series 66 required or will need to complete within the first 4 months of employment.
· Familiarity with financial planning software and concepts (e.g., eMoney, MoneyGuidePro) preferred.
Skills & Attributes
· Strong attention to detail with excellent organizational skills.
· Effective verbal and written communication abilities.
· High level of discretion in handling confidential information.
· Capable of working independently with minimal supervision.
· Ability to manage multiple priorities under time constraints.
· Tech-savvy and comfortable using portfolio management and CRM systems like Orion or Redtail.
· Strong interpersonal and team collaboration skills.
· Demonstrates a stewardship mindset and commitment to firm values.
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