Investment Operations Associate

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.