Investment Operations Associate

Compensation: $60K - $80K base salary + bonus + benefits

Overview:

Our client is a firm of financial architects with deep expertise in the tech sector and stock-based compensation. They help their clients break through the daily financial noise to create their own philosophy around money. The group provides flat-fee financial planning as well as wealth management services to their clients, and they currently have approximately $800M in assets under their care.

They are an Investment Operations Associate to support investment operations, client service, and Advisor collaboration. This individual will play a critical role in ensuring a seamless client experience, maintaining operational excellence, and supporting the firm's Advisors in delivering high-quality financial planning and investment services.

Key Responsibilities:

Investment Operations & Administration:

• Prepare and process investment account paperwork and related documentation
• Maintain accurate client files, account records, performance reports, and required compliance documentation
• Execute trades across client accounts in accordance with firm policies and procedures
• Respond to custodian, back-office, and operational inquiries in a timely manner
• Ensure all operational and compliance requirements are implemented and followed
• Support account maintenance activities, including transfers, distributions, and account updates

Client Service:

• Deliver a high-touch client service experience through proactive communication and follow-through
• Communicate with clients and prospects to obtain required documentation and complete account applications
• Administer and assess client risk tolerance questionnaires
• Serve as a key point of contact for client requests and account-related inquiries
• Build and maintain strong client relationships through exceptional responsiveness and attention to detail

Qualifications:

• Bachelor’s degree required
• 0-3 years of experience in financial services, wealth management, or investment operations
• Series 7 license preferred
• Life and Health Insurance license preferred
• Strong client service orientation with excellent written and verbal communication skills
• Highly organized with exceptional attention to detail
• Strong time-management and multitasking abilities
• Ability to prioritize competing responsibilities and meet deadlines in a fast-paced environment
• Demonstrated ability to maintain confidentiality and handle sensitive client information