Investment Operations Specialist
About The Position
We are seeking a dynamic, motivated Investment Operations & Client Service Associate who takes pride in the knowledge and commitment to service they bring to their job. Passionate about service standards, and ideally has a strong interest in the financial services industry. A phenomenal communicator, both verbally and in writing. The successful candidate needs to be highly organized and capable of juggling competing deadlines and priorities. They should be intensely detailed orientation and focused on both accuracy and consistency. In addition to the many detailed administrative and analytic requirements of this position, it is essential that the Associate is a knowledgeable, team-oriented professional with strong leadership skills to perform operational activities within the firm’s SEC registered Investment Advisor and FINRA registered broker-dealer.
Requirements
- Ability to consistently deliver a superior level of productivity and quality service
- Management of operational systems – Pershing, Schwab Alliance, Fidelity, Investment, Block Trading & Rebalancing
- Management of reporting and billing system (Orion)
- Knowledge of CRM (SalesForce)
- Ability to develop, document, and implement efficient processes and workflows, and proactively improve processes
- Support and issue resolution for clients and sales reps when necessary
- Organizational skills and ability to manage multiple priorities
- Excellent verbal and written communication skills
- Experience with the trading platform systems, Pershing Netx, Schwab, & Fidelity
- Ability to work independently and handle various projects simultaneously
- Proficiency in MS Office, especially excel
Nice To Haves
- Bachelor’s degree in Business, or related field or equivalent experience
- 3-5 years of experience with financial services operations
- Series 7, 63/65 or 7/66
Responsibilities
- Answer incoming client inquiries and providing customer support to clients, including assistance with paperwork and electronic access to the online account management system
- Process new account opening, asset transfers, and basic account updates
- Resolve straightforward client issues
- Support financial advisors with administrative follow up and paperwork
- Maintain and update client records in CRM and other systems
- Collaborate with internal teams (compliance, marketing)
- Place trades in client accounts as part of the quarterly rebalancing of advisory models as well as upon individual client requests
- Work closely with Compliance Department on account and representative oversight
- Process disbursements and contributions for all client accounts
- Assist Investment Team with reporting and platform research
- Oversee account set up and maintenance for all clients
- Prepare and analyze daily/weekly/monthly/quarterly operational reports and metrics
- Manage, reconcile, and review quarterly client advisory fee billings
- Assist with sending out client paperwork
Benefits
- PTO (vacation, sick, personal time bank)
- FTO (Flexible time off for vacation, sick, and personal time) after 2 years of service
- 12 Paid Holidays (10 stated and 2 floating holidays)
- 2 Community Volunteer Days
- 5 Summer Half Days
- Medical, Dental, Vision
- Life Insurance
- LTD & STD
- Retirement Plan with 4% Employer Match
- Parental Leave
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
