Investment Operations Associate

Our client prides itself in its long term success with client relationships and delivering holistic planning and plan implementation to business owners and high net worth individuals. About the Role Investment operations is a strategic partner with the CIO, advisors, and clients to ensure seamless service in the investment department. Investment operations is key to consistent, repeatable processes in tasks that create a top-notch client experience. They must effectively communicate with the team internally, and with clients externally. They foster relationships with clients in order to deliver an experience in which the client feels heard and taken care of. Responsibilities Embrace ownership of the position and the role in helping clients Work closely with CIO/advisors on service and account management matters Maintain strong compliance documentation related to research, trading, and client interaction Strict adherence to compliance and client confidentiality Gather client data, assist with processing client notes, correspondence, and maintaining client case files, update client files as needed Create and execute repeatable, systemized processes to be efficient and effective Stay engaged with home office personnel Handle investment service requests; communicate with clients using our service standards & follow through to completion Communicate directly with clients, strong ability to effectively summarize next steps, stated outcomes/objectives; explain the what/why Assist with proposal generation and prepare client portfolio reviews Assist with submitting new account paperwork and manage the onboarding of clients Handle tasks relevant to a client’s financial plan: account maintenance, operations and trade execution Prepare and process all paperwork needed for investment/advisory accounts Monitor, process, & follow through on asset transfers and initial/subsequent funding of advisory accounts General advisory account asset allocation and day-to‑day rebalancing Process proposal amendments, monitor alerts, and annual reviews Execute buy or sell orders and rebalance to maintain asset allocation Follow up on trade rejects and assist in resolving trade related issues Cross train with the CIO/additional team members to assist in their day‑to‑day Qualifications Bachelor’s Degree (required) Minimum of 3+ years of full‑time experience in the financial services/wealth management field (required) Series 7 and 63 or 66 registrations (required) 1 year of Pershing NetX experience is preferred Envestnet or similar Advisory Platform experience preferred Required Skills Significant experience with investment operations/wealth management Extensive communications and direct work with high net worth clients and business owners Must be familiar with opening, servicing, and maintaining accounts in a brokerage and advisory environment Have experience with trading software, CRM systems, task tracking, and internal communications Advanced proficiency a MUST in: Outlook, Google Calendar, Microsoft Excel, excellent verbal and written communications Preferred Skills Exceptional character and integrity Extremely high attention to detail while working efficiently High standards for themselves and those around themStrict adherence to compliance/regulations Provides feedback in a respectful and professional manner Effective listening and distillation of the key details Comfortable with fast paced and remote work environments Maintains a sense of humor while staying serious about responsibilities Comfortable around diverse personalities and perspectives Interested in self development Operates with a high level of energy, enthusiasm, and decisiveness Ability and willingness to operate effectively under pressure Ability to communicate effectively with clients, including specifically business owners and high net worth individuals Self aware to accept mistakes, fix them, and learn from them Can make educated assumptions when needed Pay range and compensation package We offer a highly competitive compensation package, including: Base Salary commensurate with experience and licensing - $58,000-68,000 Potential for long and short‑term incentive compensation 401(k) & Profit‑Sharing Plan Group Life and Long and Short‑Term Disability Insurance Paid Time Off Equal Opportunity Statement We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law. Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over a sponsorship of an employment Visa at this time. Any employment offer will be contingent upon the satisfactory completion of a background search and FINRA brokerage search, for which notice and consent forms will be provided to you. #J-18808-Ljbffr Titus Talent Strategies