What are the responsibilities and job description for the Investment Operations Associate position at Claire Myers Consulting?
About the Role:
Our client, a highly successful and fast-growing wealth management firm, is seeking a detail-oriented and dependable Investment Operations Associate to take ownership of daily investment account processing and operational workflow. This role is ideal for someone with a Series 7 who excels in accuracy, task execution, and supporting clients in achieving their financial planning goals. You will work closely with the lead advisor and an additional investment assistant to ensure seamless operations, exceptional service, and efficient account management.
Key Responsibilities:
Client Service & Account Support:
- Serve as a key point of contact for client account maintenance and service-related needs
- Assist with various account updates, instructions, and maintenance requests
- Prepare required paperwork for new investment accounts and account changes
- Support the advisors with meeting preparation, follow-up items, and documentation
- Maintain a professional, proactive, and client-focused communication style
Investment Operations:
- Prepare and process all paperwork for new and existing investment accounts
- Monitor, process, and follow up on asset transfers, initial and subsequent account funding, and custodial requests
- Set up and maintain periodic instructions (contributions, distributions, systematic transfers, etc.)
- Journal funds between accounts and ensure accurate tracking across platforms
Trading & Portfolio Administration:
- Implement initial and ongoing asset-allocation trades across advisory and brokerage accounts
- Construct proposals for Signature Advisory, Signature Choice, and other managed programs
- Process proposal amendments and monitor alerts in Envestnet
- Execute buy/sell and rebalancing orders while maintaining adherence to target allocations
- Follow up on trade rejects, resolve trading issues, and ensure timely settlement
- Monitor holdings for program eligibility and support the administration of advisory accounts
- Experience with donor-advised funds, charitable gifting, private credit, or private equity investments is a plus
Team Collaboration:
- Work closely with the advisor and investment assistant to streamline workflows
- Contribute to an operations environment built on accuracy, reliability, and teamwork
- Support internal process improvements and maintain a high standard of operational excellence
Qualifications:
- Active Series 7 required
- Series 63 or 66 strongly preferred (or willingness to obtain)
- 2 years of experience in investment operations or client service within a wealth management or RIA environment
- Strong understanding of investment products, advisory platforms, and custodial processes
- High attention to detail, accuracy, and organization
- Strong communication skills with the ability to work directly with clients
- Reliable, self-motivated, and able to manage multiple tasks in a fast-paced environment
Compensation:
Salary range: $60,000 – $90,000, depending on experience
Salary : $60,000 - $90,000