The responsibility of the Investments Operations Associate is to efficiently complete investment servicing requests

for the firm in accordance with firm and regulatory policies and procedures.

Specific responsibilities include, but will not be limited to:

Client Servicing

• Act as dedicated support for the investment operations team for new account creation and maintenance,

beneficiary changes, death claims and information requests.

• Process asset movement requests for clients via wire transfer, ACH and check distributions.

• Manage workflow to and from advisory and servicing teams. Track status of client activities through

implementation of investment products and services. Provide status updates to clients and communicate

with them to resolve any issues.

• Collaborate with financial advisors, clients, other servicing team members and external financial entities

during the execution of duties.

Investment Operations

• Assist in the administrative functions of the investment operations by monitoring industry trends and

policies ensuring compliance requirements are implemented and followed.

• Process, or collaborate with others to process, the opening/funding of investment accounts. Process

investment service requests such as funds disbursements, account transfers and required minimum

distributions.

• Execute trades and cash movements on a recurring basis. Rebalance portfolios, raise cash and invest

funds in accordance with firm best practices.

• Provide subject matter expertise to advisors and clients regarding investment products, account types,

funds, and services. Create custom financial reports for advisors and clients utilizing various proprietary

systems.

QUALIFICATIONS

Education and Industry Experience

Required

• Strong attention to detail, accuracy, and follow-through

• Strong analytical, problem solving, and written and verbal communication skills, with the ability to work

well with others

• Ability to perform a task from start to finish in a systematic and organized approach

Additional Desired Skills

• Coachable, and passionate about learning and growing with the firm

• Self-aware and willing to be vulnerable

• Team player with a “we can do it!” mentality

Preferred

• Bachelor’s Degree in business, finance and/or related field

• FINRA Series 7 & 63

• Life, Accident & Health Insurance licenses

• 1-2 years client servicing experience in accounting, wealth management or banking

CAREER GROWTH TRACK

• Investment Operations Manager

• Director of Investment