Investment Operations Specialist
📋 Role Overview & Responsibilities
Responsibilities: The Investment Operations Specialist will be responsible for a wide variety of the investment management services we provide for our clients. This position will specialize in investment operations and planning, along with client service to ensure the maintenance of an efficient, organized office that allows the Advisor to focus his/her energy on building client relationships.
In addition to expertise, knowledge, and experience in investment operations, the ideal candidate will work with other team members to leverage technology to create and implement investment processes for a multimember team with varying degrees of technological skill. · Serve as the subject matter expert and liaison for all investment operations delivery, development, product changes/enhancements and industry trends. · Lead the day-to-day investment operations, including operations held Direct to Fund. · Perform client onboarding for new investment clients. · Prepare and process all paperwork needed for investment accounts. · Process, monitor, and follow up on asset transfers, Roth conversions, re-characterizations, and initial and subsequent funding of accounts. · Set up asset movement instructions on accounts. · Respond to check emails from GA and/or deposit all investment checks. · Create and maintain households in Netx360. · Maintain RMD, QCD, Roth conversion, CD lists and ensure timely completion with AWMAs. · Track trade corrections. · Process all account maintenance needs including address, name, and beneficiary changes across all platforms. · Perform trading re-balancing, tax loss harvesting, and inside signature choice accounts. · Create investment takeover proposals. · Deliver regulatory documents to clients. · Upload Investor Profiles to Docket. · Audit case notes for capacity disclosure, share class, and reasons monthly. · Determine when a transaction analysis form is required. · Team up with AWMA to respond to compliance inquiries from HO and local supervision. · Act on and respond to emails. · Do rollover calls to assist in movement of clients retirement assets. *Responsibilities subject to change as business/regulations change. Qualifications: · Previous experience in securities industry required. · 4-6 years of experience preferred. · Demonstrates a high level of initiative and seeks to implement new solutions to operational challenges. · Ability to analyze complex information and reach reasonable conclusions. · High standards for productivity and the ability to work in a fast-paced environment and juggle multiple competing tasks and short deadlines. · Strong analytical skills with close attention to detail and accuracy. · Highly motivated, well-organized, and detail oriented. · CFA preferred, or desire to eventually complete. · Series 7 and 63 required.
Location: On site 4x a weekSalary: 90-100k
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This position is located in Braintree, MA with potential relocation and sponsorship assistance depending on candidate qualifications.
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