Investment Operations Associate

Job Title: Investment Operations Associate 

Location: Wichita Falls, TX / Fort Worth, TX 

Salary Range: $70,000 - $85,000

Position Summary: 

The Investment Operations Associate will play a key role in supporting our advisory team by managing and optimizing back‑office investment processes. This position requires a detail‑oriented, organized individual with strong problem‑solving skills and a solid understanding of investment operations. The successful candidate will ensure accurate trade processing, timely settlements, efficient account maintenance, and reliable reporting to support client service and advisor effectiveness. A significant portion of this role involves direct client communication and coordination—serving as a primary operational contact for clients, gathering documentation, explaining processes and timelines, providing clear status updates, and managing expectations throughout multi‑stage engagements while collaborating closely with advisors and custodians to deliver a seamless client experience.

Key Responsibilities:

• Provide day-to-day support to the advisory team and the investment operations team.
• Collaborate with advisors to create investment recommendations and support client onboarding and account servicing.
• Serve as a client‑facing operational contact—gather documentation, provide clear status updates, explain processes and timelines, and coordinate with advisors and custodians to resolve issues and move cases forward.
• Prepare, review, and process trade orders, ensuring accuracy and timely submission.
• Monitor trade confirmations, settlements, and exception resolution with custodians and counterparties.
• Manage cash movements, deposits, withdrawals, and transfer requests.
• Handle account openings, transfers, beneficiary updates, rebalances, and other account document processing.
• Respond to operational inquiries from advisors, clients, and custodians in a timely, client‑focused manner.
• Prepare regular operational and performance reports (daily trade reports, reconciliation summaries, monthly reports).
• Identify process improvement opportunities and participate in project work to increase operational efficiency.

Qualifications:

• Bachelor’s degree in Finance, Business Administration, or a related field preferred.
• Minimum of 2 years of experience in financial services, preferably within investment operations, custody, or brokerage environments.
• Familiarity with trade processing, settlements, reconciliations, and custody operations.
• Active FINRA SIE, Series 7, and Series 63 (or equivalent registrations such as Series 7 66 or Series 6 63).

Personal Attributes:

• Strong analytical, organizational, and problem‑solving skills.
• Excellent communication and interpersonal abilities, with a client service mindset.
• Able to work independently and collaboratively.
• Comfortable managing competing priorities and escalating issues appropriately.
• Thrives in high‑volume, multi‑stage environments; reprioritizes and context‑switches while maintaining accuracy.
• Owns and advances a portfolio of tasks (same‑day to multi‑month) with proactive tracking and follow‑up.

Benefits:

• Competitive salary.
• Medical, dental, and vision insurance.
• Retirement plan with company contribution.
• Paid time off and holidays.
• Opportunities for professional development and career growth.
• Paid time off to volunteer.
• Long-term disability and life insurance policies.