What are the responsibilities and job description for the Investment Operations Assistant position at W3Global?
Role Overview
This position is a non-sales, operations-focused role supporting daily investment activities and client service. The Investment Operations Assistant works closely with internal teams to ensure smooth account management, accurate trade execution, and an efficient client onboarding experience.
Key Responsibilities
Health insurance
Paid time off
Retirement plan
This position is a non-sales, operations-focused role supporting daily investment activities and client service. The Investment Operations Assistant works closely with internal teams to ensure smooth account management, accurate trade execution, and an efficient client onboarding experience.
Key Responsibilities
- Maintain and follow internal policies, procedures, and compliance documentation
- Execute trades and perform account rebalancing
- Process distribution requests for taxable and retirement accounts
- Communicate with clients via phone, email, and in person
- Assist with new account setup, rollovers, and onboarding documentation
- Track and follow up on paperwork to ensure timely completion
- Coordinate with internal teams to support daily operations
- Support additional operational projects as needed
- No sales responsibilities or quotas
- 3 years of experience in financial services operations
- Strong understanding of securities industry regulations
- Experience with:
- Trade execution
- Account opening / onboarding
- Client interaction
- Excellent communication and organizational skills
- High attention to detail and ability to manage multiple priorities
- Proficiency in Microsoft Office and CRM systems
- Bachelor's degree preferred
- FINRA Series 7 & 63 (65, willingness to obtain)
Health insurance
Paid time off
Retirement plan
Salary : $75,000 - $85,000