Investment Operations Assistant

Job Description

Job Description

ABOUT US

Join a high‑performing, expanding $1.5B community bank with $3.2B in total assets under our care, where people, purpose, and opportunity come together to drive meaningful impact. At State Bank, we are building a culture grounded in collaboration, innovation, and integrity, while continuing to invest in our people and the communities we serve. We value individuals who take initiative, think strategically, and are committed to both personal and organizational growth. Our approach recognizes contributions and effort, supports professional development, and provides meaningful financial rewards, including the opportunity to earn up to 30% of your annual wage in quarterly incentives. In addition, we offer opportunities to grow your career within a strong, stable, and expanding organization. If you feel you have what it takes to become part of a high‑performing team of professionals and deliver regional growth goals in a competitive landscape and enjoy strong financial recognition for your leadership and work this opportunity just might be for you.

EDUCATION

Bachelor’s degree, preferably in business, finance, accounting, economics or related field; Series 6 & 63 preferred or willing to obtain

EXPERIENCE

A minimum of three (3) years of experience in the financial services industry, preferably with an investment management or advisory firm

REQUIRED SKILLS

• Strong oral and written communication skills

• High degree of confidentiality and discretion when handling sensitive client and Bank information

• Strong organizational skills with attention to detail and accuracy

• Ability to manage multiple priorities and meet deadlines

• Strong follow‑up and follow‑through capabilities

• Ability to exercise sound judgment, recognize urgency, and prioritize work effectively

• Basic to intermediate computer skills, including CRM and financial systems

• Ability to work independently as well as collaboratively in a team environment

• Professional demeanor, appearance, and interpersonal skills

PREFERRED SKILLS

• Experience supporting investment, brokerage, or trust advisory teams

• Ability to interact effectively with sophisticated and high‑net‑worth clients

• Knowledge of brokerage operations, trust account administration, and investment products

• Strong mathematical and analytical skills

• Experience preparing investment summaries, financial reports, and client review materials

• Comfort with client interaction and verbal communication

• Demonstrated teamwork, problem‑solving, and time‑management skills

• Familiarity with compliance and regulatory standards within a bank or wealth management environment

• Familiarity with portfolio accounting and reporting systems (e.g., Black Diamond, Cetera, or similar platforms).

ROLE AND RESPONSIBILITIES

The Investment Operations Assistant is responsible for providing administrative, operational, and client service support to Investment Advisors, Trust Advisors, and Wealth Management leadership. This position assists with brokerage and trust account administration, transaction processing, client communications, documentation, and compliance support to ensure accurate operations and a high level of service to Wealth Management clients.

ESSENTIAL DUTIES

1. Client Service & Communication

a. Interact daily with clients by processing service requests and responding to basic inquiries in a timely and professional manner

b. Proactively communicate with clients through various communication methods to provide account updates and status information

c. Coordinate follow-up actions with advisors after client meetings to ensure timely completion

2. Investment & Account Operations

a. Assist with opening, maintaining, and servicing brokerage and trust accounts

b. Coordinate account transfers and obtain cost basis information for incoming assets

c. Execute equity, fixed income, mutual fund, and annuity transactions under advisor direction

d. Review daily transaction reports to verify accuracy of investment activity

e. Monitor client account activity, including dollar cost averaging and systematic withdrawal programs

f. Verify cash balances and generate monthly available cash reports

3. Documentation & Reporting

a. Prepare balance sheets, investment allocation summaries, agendas, charts, graphs, and client meeting materials

b. Maintain accurate and up‑to‑date client files in CRM, billing, and reporting systems

c. Prepare fee invoices and monthly fee billing summaries

d. Coordinate approvals and processing of client fees

4. Advisor & Team Support

a. Schedule client, advisor, and internal team meetings

b. Prepare meeting materials for annual, quarterly, and ad‑hoc client reviews

c. Track project and account workflow and keep advisors informed of progress

d. Maintain client referral program processes and provide required advisor support

e. Support portfolio accounting and performance reporting platforms (e.g., Black Diamond, Certeza, or similar systems)

f. Coordinate mailings, process incoming mail, and maintain office documentation

5. Compliance & Risk Management

a. Support compliance with regulatory requirements including CRA, BSA, and other applicable regulations

b. Assist with audit preparation and maintenance of regulatory documentation

c. Ensure client records and system data are accurate, complete, and audit‑ready

d. Monitor continuing education requirements

ANCILLARY DUTIES

• Perform tasks supportive in nature to essential job functions as assigned

PHYSICAL REQUIREMENTS

• Occasionally ascends/descends stairs to move through the different floors of the location

• Occasionally positions self to accomplish tasks in various environments including tight and confined spaces

• Must be able to remain in a stationary position more than two-thirds of the time

• The person in this position needs to occasionally move about inside the office to accomplish tasks

• Occasionally adjust or move objects up to 10 pounds in all directions

• Frequently communicates with others to exchange information

• Constantly moves wrists, hands, and/or fingers

• Must be able to assess the accuracy, neatness, and thoroughness of the work assigned

• Sedentary work that primarily involves sitting/standing