Investment Operations Associate

Compensation: Base salary: $60,000 to $90,000 (based on licensing and experience)

Our client is a dynamic, boutique wealth management firm 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, fee-based financial planning, fee-based 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 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

• Base salary: $60,000 to $90,000 (based on licensing and experience)