Investment Operations Associate

Southern Wealth • Tallahassee, FL

3d • Onsite

About The Position

Southern Wealth is seeking a detail-oriented Investment Operations Associate to support the Director of Investments and ensure the operational integrity of our investment platform. This position plays a vital role in trade execution, client onboarding, and ongoing account maintenance. The ideal candidate will have a solid understanding of investment operations and thrives working in a face-paced environment with a collaborative, client centric team. Success in this position requires a blend of outstanding interpersonal communication and robust analytical capabilities, paired with a methodical approach to problem-solving. If you are eager to develop professionally and make a meaningful impact on clients' lives, we invite you to explore this opportunity further.

Requirements

• Bachelor's Degree in finance or related field preferred, but industry experience can be substituted
• At least 1–3 years’ experience in investment operations, wealth management, or financial services
• Experience in an RIA or trading implementation role
• Experience placing equity and fund trades
• Experience executing cash movement transactions (wires, ACH, deposits, internal transfers)
• Proficient with Excel
• Proficient with trading systems, portfolio tools, and CRM platforms
• Strong attention to detail, effective written and verbal communication, and a collaborative approach
• Experience with systems such as: CRMs, NetX360, ENV2, Y-charts in Morningstar (familiarity preferred)
• Ability to pass both a background check and drug test
• Series 7 (Required)
• Series 63 and 65 or 66 (Required)

Nice To Haves

• Florida 2-15 License (Preferred)
• Strong analytical, organizational, and problem‑solving skills
• Excellent communication and interpersonal abilities, with a client service mindset
• Able to work independently and collaboratively
• Detail-oriented
• Self-sufficient and ability to work with a high degree of autonomy
• Proven ability to resolve issues independently
• Continuous improvement (lifelong learning)
• Adaptability to changing investment strategies
• High ethical standards and integrity
• Continuous interest and focus on emerging investment strategies involving alternative investments, private equity, etc

Responsibilities

• Support trade execution, settlement monitoring, and portfolio rebalancing
• Coordinate and manage investment client onboarding and required documentation
• Maintain and process account updates, transfers, contributions/distributions, and cash movements
• Support reporting, compliance documentation, and efforts to strengthen operational controls and workflows
• Prepare investment paperwork
• Handle the end-to-end trade lifecycle, from preparation and review to execution, while ensuring precision and prompt submissions
• Monitor trade confirmations, settlements, and exception resolution with custodians and counter-parties
• Review investment account paperwork for completeness and accuracy
• Manage the transition of assets and account funding for new investment client onboarding
• Contact and advise clients on investment service-related items
• Monitor and manage daily alerts
• Manage cash movements, deposits, withdrawals, and transfer requests
• Oversee the processing of account documentation, including openings, rebalances, beneficiary updates, and transfers
• Prepare regular operational and performance reports (daily trade reports, reconciliation summaries, monthly reports)

Benefits

• Annual salary commensurate with experience
• Bonuses based meeting individual and firm's financial goals
• Short- and long-term group disability insurance paid for by the firm
• Optional dental, vision, and Aflac (at employee's expense, but at a discounted rate)
• 401K (eligible 1st of the month after 30 calendar days); matching 100% up to 3%, 50% up to 5%
• Subsidy for medical insurance (eligible 1st of the month after 30 calendar days)
• PTO: 10 days per year, prorated based on hiring date
• Nine (9) paid major holidays, including two days for Christmas and two days for Thanksgiving
• Frequent off-site team building activities and celebrations

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level