Overall Function

The Investment Operations Associate specializes in client service and supporting the Investment team. You will help ensure the continuation of an efficient, effective, and organized office. This individual is a liaison between the Brokerage Firm back office and the home office as well as the Advisors and clients.

Specific responsibilities may include but not be limited to:

Support

• Execute all money movement functions, including but not limited to:
  • Incoming and outgoing ACHes
  • Incoming and outgoing wires
  • Transfers between custodied investment accounts (journals)
  • Internal account transfers
  • External account transfers
  • Execute Roth Conversions

• Gifting
  • QCDs
  • Gifts of appreciated assets

• Execution of trades of stocks, bonds, mutual funds, and ETFs in brokerage and advisory accounts (buys, sells and exchanges) in a timely manner (once appropriately credentialed)
• Coordination of new account openings – generate paperwork, send to client, submit for review, fund and invest
• Monitor all incoming cash
• Create investment proposals using existing Heirloom/WMC models
• Client service requests/communications – respond to client emails and phone calls, and execute in a timely and professional manner
• Client deliverables, as assigned

Competencies

• Strong attention to detail and accuracy with the ability to review documents for completeness and accuracy
• High level of professionalism and the ability to maintain confidentiality
• Excellent written and verbal communication skills with clients and team members
• Organized, with the ability to follow through on multistep, multiday processes from creation to completion
• Excellent time management skills and the ability to multitask, set priorities and meet deadlines
• The ability to take independent actions and make sound decisions
• Self-motivated with a strong desire to learn. Eager to ask questions and be an active learner
• Team oriented (Team player)
• Willingness to work in the office, located in Raleigh, NC

Qualifications

• Hold FINRA SIE and series 7 license (or be able to obtain within 6 months of hire)
• Hold FINRA 63 and 65 or 66 and NC Life & Health Licenses and Long-Term Care License (or be able to obtain within the next 6 months or 12 months of hire)