Senior Investment Associate

Hub International Insurance•Pasadena, CA

4d•$125,000 - $150,000

About The Position

As part of our Wealth Management team, the Senior Investment Associate supports senior advisor partners in the management of a $4B book of business. This role combines investment research and trading responsibilities with operations management and client-facing coordination to help deliver a high-quality client experience, The position encompasses the following core job functions:

Requirements

A bachelor's degree or 15 years of relevant experience
Highly proficient at Excel and PowerPoint
FINRA Series 65 required
Demonstrated oral and written communication skills and the ability to interact with individuals of all levels inside and outside of the organization
Ability to work collaboratively in a team environment

Nice To Haves

CFA or CFP preferred
Experience with custodial platforms such at Schwab and Fidelity
Experience with Orion, Eclipse and Nitrogen/Riskalyze preferred

Responsibilities

Client Advisory & Planning Support Participate in client meetings and presentations
Draft meeting summaries, action items, and follow-ups
Conduct Client Market Reviews, as needed
Operations & Service Experience Leverage prior experience with operational workflows and service processes to ensure seamless coordination across client onboarding, account maintenance, and custodian interactions
Collaborate with operations and client service team to support efficient execution of client requests and back-office functions
Maintain working knowledge of custodial platforms (e.g., Schwab, Fidelity) and internal CRM systems to assist in troubleshooting or escalating service-related issues
Provide input on operational improvements that enhance the client experience and advisor efficiency
Understand the end-to-end client service lifecycle to support holistic planning and implementation
Investment Research & Trading Conduct research and analysis on mutual funds, ETFs, equities, and alternative investments
Support investment committee with portfolio construction and model updates
Execute trades and monitor account rebalancing based on model changes or client activity
Tax & Compliance Awareness Apply a foundational understanding of individual income tax principles to proactively identify potential tax implications related to investments, withdrawals, and account types
Evaluate planning opportunities such as tax-loss harvesting, asset location strategies, RMD timing, and Roth conversions
Monitor client portfolios for tax-sensitive events (e.g., short-term gains, distribution schedules) and flag them for advisor review
Coordinate with clients’ CPAs and tax professionals to ensure consistency between tax and investment strategies
Stay current on relevant tax rules (e.g., contribution limits, phase-outs, standard deduction changes) and ensure proper documentation for client reporting)
Adhere to internal procedures and regulatory compliance