Client Service and Investment Operations

Job Title:

Investment Operations Associate

Job Description:

Key Responsibilities

· Prepare and process new account paperwork for institutional and HNW clients, including annuity accounts.

· Ensure all documentation meets regulatory and internal compliance standards.

· Set up and maintain client accounts within portfolio management systems.

· Execute trades based on analyst recommendations or at the direction of advisors/clients.

· Manage routine client service requests including account access, distributions, and information delivery.

· Initiate and facilitate transfers of cash and securities.

· Receive and direct client checks to appropriate vendors or custodians.

· Calculate and process annual IRA distributions.

· Generate client proposals using financial planning software.

· Communicate professionally and regularly with clients, custodians, vendors, and internal stakeholders.

· Complete ad hoc projects and provide operational support as needed.

Company Requirements:

· Prior experience in investment or financial planning operations required (or relevant industry equivalent).

· Bachelor’s degree required.

· FINRA SIE, Series 7 and Series 66 required or will need to complete within the first 4 months of employment.

· Familiarity with financial planning software and concepts (e.g., eMoney, MoneyGuidePro) preferred.

Skills & Attributes

· Strong attention to detail with excellent organizational skills.

· Effective verbal and written communication abilities.

· High level of discretion in handling confidential information.

· Capable of working independently with minimal supervision.

· Ability to manage multiple priorities under time constraints.

· Tech-savvy and comfortable using portfolio management and CRM systems like Orion or Redtail.

· Strong interpersonal and team collaboration skills.

· Demonstrates a stewardship mindset and commitment to firm values.