Investment Operations Associate
📋 Role Overview & Responsibilities
Compensation: Base salary: $60,000 to $90,000 (based on licensing and experience)
Our client is a dynamic, boutique wealth management firm with a mission to educate the community on all things financial and empower others to live their best lives. They design a personalized plan and help clients execute it by safely navigating their financial journey and having meaningful adventures. The firm provides comprehensive, fee-based financial planning, fee-based investment advisory solutions, education funding strategies, holistic wealth management, retirement planning, and risk management.
They are adding an Investment Operations Associate to support the firm.
Responsibilities
Prepare and process all paperwork needed for investment accountsMaintain client case files, performance reports, account forms and other paperwork requiredCollect all materials for quarterly and annual reviewsCollaborate with planning team to create proposals and investment policy statements for advisory clientsCollaborate with Advisor regarding allocation, planning strategies and proactive investment and market related client communicationsOversee account opening, funding and trading, money movement, and cash deployment schedulesRespond to back office inquiriesEnsure compliance requirements are implemented and followedProvide ongoing service to clientsComplete risk tolerance questionnaires with clients; assess accordinglyProvide ongoing investment related service to clients
Qualifications
2-3+ years of Financial Services experienceSeries 6 and 63 licenses or Series 7 (required at hire or within 1 year of tenure)Client service experience including excellent oral and written communication skillsDemonstrated organizational skills, ability to multitask, and time management skills with ability to set priorities and meet deadlinesAbility to maintain confidentiality
Compensation
Base salary: $60,000 to $90,000 (based on licensing and experience)
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This position is located in Honolulu, HI with potential relocation and sponsorship assistance depending on candidate qualifications.
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