Investment Operations Associate

Lead Advisor, LLC is a wealth management consulting and search firm. This role is for one of our clients. Visit other wealth management focused roles at jobs.lead-advisor.com

Investment Operations Associate

The Investment Operations Associate is responsible for supporting the execution of the Investment philosophy and strategy of the firm.

This individual leads the onboarding process for investment clients and assists supporting advisors in selling and servicing investment accounts.

This investment licensed individual will provide client service, data entry and account maintenance support for the team.

As part of the team, this individual supports the philosophy, principles, and practices of the firm.

Role Overview

• Perform duties for financial advisors such as opening new accounts, asset movement, and mutual fund trading.
• Assist clients with appropriate ongoing investment paperwork.
• Ensure investment-related systems and processes stay up-to-date and maintain compliance.
• Process account changes and maintenance requests.
• Maintain daily bank deposits and document the requests.
• Process service requests including fund disbursements, account transfers, trade corrections, and asset movements.
• Act as a liaison for investment needs between home office, advisors and team, and clients.
• File and log appropriate correspondence and forms.
• Correspond with clients in a professional manner while gathering information or conducting rollover calls.
• Coordinate Transfers from outside firms.
• Actively participate in team meetings to positively impact the culture, productivity, and expertise of the team
• Maintain and ensure compliance in all actions taken through role.
• Attend Quarterly Team Meetings and provide insight into current state of investment operations.
• Train and onboard future investment operations hires.

Qualifications

• 3+ years of professional experience in wealth management, financial planning or related fields.
• CFP, CFA, or similar professional designation(s) strongly preferred
• Active Indiana Life & Health and FINRA Series 7 & 63 licenses (or willingness to obtain within the first six months)
• Demonstrated financial services knowledge and willingness to continue development in this area.
• Clear verbal and written communication skills, particularly in explaining financial principles and concepts face to face, over the phone or via email.
• Strong attention to detail, and flexibility and adaptability to move with changes in client situations and capital markets.

Location : In office

Salary : 55-65k base

Lead-Advisor, LLC is a wealth management consulting and search firm. We help Fortune 500 firms, independent RIAs and solo-practitioners identify talent for their hiring needs.

We help wealth management professionals upgrade their careers and find new opportunities. For more resources and information please visit www.lead-advisor.com.