Investment Operations & Trading Associate

Position Overview Investment Operations & Trading Associate – Support clients with day‑to‑day operations, ensuring smooth processes and accurate paperwork. Key Responsibilities Operational Support: Open and maintain client accounts, ensure documentation is complete and accurate; daily reconcile client holdings. Account Transfers: Facilitate transfers from broker dealers, custodians, agencies, and banks. Trading & Trade Reconciliation: Verify accurate and prompt execution of daily trades; resolve discrepancies with internal teams and custodians; manage block trading. Data Entry & Reporting: Keep records in CRM and portfolio management systems (e.g., HubSpot, WealthBox, Advyzon); generate periodic client account, trade, and performance reports. Investment Performance Reporting: Assist with Investment Policy Statements and Investment Management Agreements; produce quarterly investment reports and year‑to‑date policy performance summaries. Communication & Coordination: Work with portfolio managers, advisors, and custodians to facilitate trades and account updates; keep clients informed about transactions and portfolios. Compliance Assistance: Ensure processes comply with industry regulations and company policies; support SEC compliance documentation and audit requirements. Problem Solving: Identify issues in client accounts or transactions; collaborate with team members to develop effective solutions. Qualifications Bachelor's degree in Finance, Business Administration, or related field preferred. 2+ years of experience in client services or operations within financial services. Series 7 preferred. Experience with trade reconciliation and familiarity with investment accounts. Trading and block trading experience. Proficiency in CRM and portfolio management systems (HubSpot, WealthBox, eMoney, Advyzon). Strong attention to detail, organizational skills, and excellent communication and interpersonal skills. Ability to prioritize tasks and manage time efficiently in a fast‑paced environment. Knowledge of SEC regulations and industry compliance standards is a plus. #J-18808-Ljbffr Stavis Wealth