What are the responsibilities and job description for the Senior Investment Operations Associate position at Alinity Wealth Management?
Company Description
Alinity Wealth Management provides comprehensive financial planning services, including retirement, investment, tax, and estate strategies, along with risk management solutions. Our team helps families prepare for milestones such as retirement, education, and healthcare costs and supports business owners with succession planning, growth opportunities, and benefits strategies. Alinity Wealth Management partners with Mariner Platform Solutions, an SEC-registered investment adviser, to offer tailored investment services.
Role Description
The Senior Investment Operations Associate role is a full-time, on-site position located in Baton Rouge, LA. You will manage daily operational tasks related to investment accounts, including account reconciliation, processing transactions, and ensuring compliance with regulatory requirements.
Role Tasks
- Mentor associates on new account opening and basic service requests, overseeing their work as needed.
- Research, acquire, complete & distribute required documentation to facilitate account rollovers & transfers.
- Maintain organized workflows & documentation within CRM and client records while monitoring progress on outstanding workflows & communicating to advisors or clients.
- Anticipate & correct issues that may arise from account trading, transfers and funding.
- Obtain necessary info or documentation for account maintenance and to resolve & clear NIGOs.
- Update CRM within client records and task lists with dates and notes on account funding, transfers & rollovers.
- Complete and execute third party paperwork and process advanced service requests for client account.
Attention to detail and proactive problem-solving are essential in this role to ensure exceptional client service and efficient investment operations.
Qualifications
- 5 years of experience in investment operations roles.
- Series 65 or 66 licensed.
- Proficiency in investment account operations, including reconciliation, processing, and reporting.
- Knowledge of regulatory compliance in financial and investment services.
- Advanced understanding of investment products (Mutual Funds, ETFs, SMAs, Stocks, Bonds, Closed End Funds, etc.) & portfolio construction.
- Strong analytical, organizational, and problem-solving skills.
- Excellent communication and interpersonal abilities to collaborate with team members, clients, and custodians.
- Experience with investment management software and related tools.
- Anticipate client needs, guide them through complex account funding steps, and ensure a smooth experience.
- Ability to manage multiple processes and tasks in a timely and quality manner with a high degree of accuracy.
- Ability to embrace change & work in a fast-paced environment both independently and in a team.
- Prior experience in investment operations, wealth management, or financial services preferred.
Compensation and Benefits
- We believe team members should be compensated appropriately for the great value they create for our clients and our firm. We are committed to provide generous compensation accordingly.
- Benefits include: Pre-tax & Roth 401(k) with 4% match, Health, Dental & Vision insurance, Short & Long-Term Disability, Access to HSA & Dependent Care FSA through section 125 Plan, Identity Theft Protection, Educational Assistance Plan, Continuing Education and Professional Designations