Investment Specialist

About the Role

We are seeking a detail‑oriented and analytically driven Investment Specialist to join our wealth management team. This role is central to ensuring client portfolios remain aligned with strategic targets, executing day‑to‑day investment operations, and supporting our research and portfolio design processes. The ideal candidate is proactive, highly organized, and passionate about investment management and financial markets.

Key Responsibilities

1. Portfolio Implementation, Maintenance & Client Support

• Prepare meeting materials for new and existing clients, ensuring accurate portfolio positioning, data and insights.
• Manage client cash needs, standing instructions, and ongoing arrangements to ensure timely execution.
• Execute trades across equities, mutual funds, ETFs, and other investment vehicles.
• Build target allocations for new accounts using the Thomson One brokerage platform and internal asset allocation tools.
• Process money movements, transfers, and wire requests accurately and securely.

2. Compliance & Regulatory Alignment

• Ensure all managed accounts meet stated target allocations at each client interaction.
• Create, track, and close annual managed account reviews within defined timelines.
• Update and verify client profiles during each review or interaction.
• Identify, resolve, and communicate solutions to compliance‑related issues, including CSU inquiries and policy violations.

3. Market & Investment Research

• Meet with asset management wholesalers to gain insights into mutual funds and strategies.
• Stay current on approved investment offerings and identify new potential candidates across mutual funds, ETFs, third‑party manager solutions, and alternative investments.
• Monitor mutual fund and ETF performance; proactively recommend replacements when appropriate.
• Support individual stock research, tracking, and analysis as requested.

4. Portfolio Design & Construction

• Collaborate with the Investment Manager and Advisor to assess client risk tolerance, time horizon, and objectives.
• Generate customized proposals using firm tools and guidelines.
• Ensure proper account structure, asset location, and allocation during new portfolio builds or adjustments.

Qualifications

• 1-2 years’ experience in investment operations, portfolio management support, or trading required.
• Bachelor’s degree in finance, economics, business, or related field preferred.
• FINRA licensing (Series 7/66) or willingness to obtain within a designated timeframe.
• Strong analytical skills and high proficiency with Excel and portfolio management tools.
• Excellent attention to detail and commitment to accuracy.
• Ability to manage multiple tasks, deadlines, and shifting priorities.
• Strong communication skills with the ability to explain investment concepts clearly.