Investment Operations Associate

Compensation - $75,000-90,000 base salary commensurate with work experience.
Plus incentive opportunity.

Our client is a dynamic, boutique wealth management firm in Raleigh, NC with a mission to educate the community on all things financial and empower others to live their best lives. They design a personalized plan and help clients execute it by safely navigating their financial journey and having meaningful adventures. The firm provides comprehensive financial planning, investment advisory solutions, education funding strategies, holistic wealth management, retirement planning, and risk management.

They are adding an Investment Operations Associate to support the firm. 

Responsibilities

• Prepare and process all paperwork needed for investment accounts
• Maintain client case files, performance reports, account forms and other paperwork required
• Collect all materials for quarterly and annual reviews
• Collaborate with the planning team to create proposals and investment policy statements for advisory clients
• Collaborate with Advisor regarding allocation, planning strategies and proactive investment and market-related client communications
• Oversee account opening, funding and trading, money movement, and cash deployment schedules
• Respond to back-office inquiries
• Ensure compliance requirements are implemented and followed
• Provide ongoing service to clients
• Complete risk tolerance questionnaires with clients; assess accordingly
• Provide ongoing investment-related service to clients

Qualifications

• 2-3+ years of Financial Services experience
• Series 6 and 63 licenses or Series 7 (required at hire or within 1 year of tenure)
• Client service experience including excellent oral and written communication skills
• Demonstrated organizational skills, ability to multitask, and time management skills with ability to set priorities and meet deadlines
• Ability to maintain confidentiality

Compensation

• $75,000-90,000 base salary commensurate with work experience. Plus incentive opportunity.