Investment Operations Specialist

Job Summary :

The Investment Operations Specialist helps facilitate efficient processing of investment business for the firm’s advisors.

The individual will also assist in educating and training advisors on best practices, form requirements, and technology updates relating to opening and servicing investment accounts.

In addition, they serve as a subject matter expert on our A360 software platform.

Duties Include :

• Develop and execute a plan to support financial advisors in building out wealth management and financial planning components of their practice to increase the total assets under management for the firm
• Identify investment training needs and priorities through collaboration with departmental and firm leaders, to ensure alignment with business objectives and industry standards
• Develop investment manual detailing various account opening and account maintenance procedures
• Serves as coordinator for processing firm exceptions, escalations, NIGO (not in good order), and other related requests
• Maintaining proficiency in A360 software platform, training agents as needed, and serving as an agency expert on the software
• Works with unassigned clients for servicing needs on investment accounts
• Completes business reassignment forms for termed advisors and unassigned clients
• Documents advisor and client interactions in tracking systems to ensure efficient follow-up
• Supports the requirements of Regulation Best Interest by working with the compliance team
• Monitor and evaluate the effectiveness of new programs through assessments, surveys, feedback, and performance metrics, continuously seeking opportunities for improvement and innovation
• Stay informed about industry trends, regulatory requirements, and emerging technologies to enhance investment services and processes
• Serve as a champion for advancing investment and financial planning business, promoting a culture of continuous improvement, growth, and excellence
• Conducts one-on-one meetings with all new advisors joining Capstone Colorado, providing personalized guidance and support while reporting on key meeting outcomes and insights
• Provides weekly reports on outcomes, production metrics, areas for improvement, and areas of strength, enabling informed decision-making and continuous improvement efforts
• Demonstrates a commitment to increasing and retaining assets under management through proactive coaching, performance management, and targeted training interventions
• Any other duties assigned by manager
• Reports directly to General Agent

Qualifications :

• Must have Series 7 and Series 65 or 66 (IA-Rep with MMLIS)
• Certified Financial Planner (CFP) preferred
• No disclosures or issues with FINRA that would require special supervision
• Bachelor's degree in Finance, Business Administration, or a related field required
• Proven experience in wealth management within the insurance and financial services industry
• Strong understanding of industry-specific roles, products, regulations, and market dynamics
• Excellent leadership, communication, and interpersonal skills, with the ability to inspire and motivate others
• Results-oriented mindset with a focus on driving performance improvement and achieving measurable outcomes
• Strategic thinker with the ability to analyze complex issues, anticipate challenges, and develop innovative solutions
• Commitment to maintaining confidentiality, professionalism, and integrity in all training activities
• Proficiency in Microsoft Office Suite : Outlook , Word, Excel, and PowerPoint
• Professional references must be available
• In office role located in Denver, CO

Compensation & Benefits :

• $55,000 to 70,000 annual base dependent on experience and education
• Medical, dental, vision, and life insurance
• Short-term and long-term disability insurance
• 5% match on 401k
• This is a W2 role with Capstone Partners and requires maintaining a MassMutual contract as a registered representative - Maintaining this contract includes reporting $10,000 in T1 WLADL or 4 life insurance policies
5 days ago