Investment Operations Associate

We are seeking a resourceful, detail-oriented Investment Operations Associate to provide high-level operational support to the firm’s Financial Advisors. The ideal candidate is attentive, growth-minded, highly organized, and committed to delivering a white-glove client experience. They should be comfortable working both independently and collaboratively, solving problems, and handling sensitive client information with discretion and integrity.

Key Responsibilities

• Provide day-to-day operational and administrative support to Financial Advisors and their clients.


• Prepare materials, proposals, reports, and documentation for client meetings and advisory accounts.


• Process and maintain investment accounts, including transfers, funding, trades, rebalancing, and account updates.


• Monitor account activity and follow up on outstanding service, transaction, and trade-related items.


• Support client service needs and communicate with clients regarding their accounts, investments, and financial plans.


• Maintain accurate client records and ensure required documentation and compliance procedures are followed.


• Assist with investment research, performance reporting, and ongoing account administration.


• Collaborate across the team and provide additional operational support as needed.

Qualifications

• 3+ years of financial services, wealth management, or insurance industry experience.


• Series 7 and Series 63 licenses.


• Basic knowledge of portfolio construction and asset allocation.


• Strong attention to detail and commitment to accuracy.


• Excellent written and verbal communication skills.


• Strong client service skills and the ability to assess and respond to client needs.


• Resourceful and curious problem-solver who is comfortable taking initiative.


• High degree of integrity, discretion, and commitment to maintaining client confidentiality.


• Comfortable working with technology, data entry, and Microsoft Office applications, including Word, Excel, and Outlook.