Investment Operations

Job Overview
We are seeking a detail-oriented and knowledgeable Investment Operations professional to join our team. This role involves managing and overseeing the operational aspects of investment portfolios, ensuring compliance with regulatory standards, and supporting the firm’s financial integrity. The ideal candidate will possess strong financial acumen, technical accounting skills, and experience in investment management and financial services. This position offers an excellent opportunity to contribute to a dynamic organization committed to excellence in financial operations and compliance.

Responsibilities include but are not limited to:

• Oversee and ensure accurate preparation of necessary paperwork to implement recommendations
• Process and track all new accounts

Coordinate execution of trades for brokerage and advisory accounts, and proactively manage asset movement

• Construct and rebalance optimal portfolios 
• Monitor trades and verify funds
• Implement initial and subsequent asset allocation trades
• Process rollovers with the client and the 3rd party institution
• Construct investment proposals with the Director of Planning for client meetings
• Prepare client review materials and assist with investment audits for review meetings
• Run performance reports in Envestnet, Morningstar, NMCIR, NetX360, etc.
• Ensure NMIS and NMWMC compliance requirements are implemented and followed
• Handle incoming client service requests regarding client plans and accounts
• Contact and consult clients to complete outstanding documents and follow-up documentation along with other service-related issues
• Be a point of contact for clients regarding account information

Preferred:

• Minimum of 3 years of investment experience
• Series 7
• Securities 63 or 66 and Life & Health Insurance licenses
• Strong knowledge of Envestnet and Pershing as a custodian

Pay: $60,000.00 - $80,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Work Location: In person

Benefits:

Salary : $60,000 - $80,000