Senior Investment Associate
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: 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
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
- Participate in client meetings and presentations
- Draft meeting summaries, action items, and follow-ups
- Conduct Client Market Reviews, as needed
- 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
- 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
- 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
Benefits
- We reward our talented professionals with a competitive salary, bonus potential, and a variety of benefits to help you reach your health, retirement, and professional goals.
- Our suite of benefits includes PPOs, HMO, HSA, FSA, vision coverage, dental coverage, pet insurance, paid time off, a generous 401k plan and more!
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Number of Employees
5,001-10,000 employees
