A wealth management practice based in midtown is looking to hire an Investment Operations Associate. The right candidate should have strong attention to detail, be process driven and have a desire to learn the financial planning business. In addition to having strong operations and back-office skills, the right candidate must have excellent communication skills for communicating with clients of the firm.

This role is hybrid and must be able to commute to Midtown Manhattan a few times per week.

Responsibilities include:

· Provide great service and first impressions with clients during client onboarding

· Manage investment account opening and initial deployment process

· Prepare and process all paperwork needed for investment/advisory accounts

· Coordinate and execute 401(k) rollover calls with clients and plan administrators

· Monitor and trading account: placing trades, rebalancing existing accounts, change beneficiaries, distribution assistance, RMD management, tax loss harvesting, etc.

· Assist clients with investment account related questions

· Assist with client review schedule, maintaining notes in Envestnet and CRM and mailing annual review letters to clients

· Ensuring compliance requirements are implemented and followed

· Processing proposal amendments in Envestnet

· Accepting redemptions/withdrawals from clients and communicating instructions to home office

· Maintaining daily tickler system for account follow-ups and service requirements

· Running performance reports in Envestnet, Morningstar and NMCIR

QUALIFICATIONS

· Has 3+ years investment industry experience

· Series 7 and Series 66

· Highly detail oriented and procedural, excellent organizational skills with ability to multitask, set priorities and meet deadlines

· Trading experience, ability to process personal securities transactions

· Excellent oral and written communication skills

· Experience in administrative support or customer service, preferably in the financial services and/or insurance industry

· Ability to work in a fast-paced environment, both independently and on a team

· Ability to maintain confidentiality

• Strong critical thinking, financial analysis and problem-solving skills required
• Ability to manage multiple diverse projects and assignments in a timely and quality manner

· Demonstrated ability to maintain effective working relationships with clients

· Willingness to learn

· Bachelor’s Degree

· Familiarity with Microsoft applications and data entry and information retrieval software

· Preferences: Experience with NetX360, Envestnet and Morningstar

Salary - 70k - 85k

Job Type: Full-time

Pay: $70,000.00 - $85,000.00 per year

Benefits:

• Health insurance
• Professional development assistance
• Retirement plan

Schedule:

• Monday to Friday

Ability to commute/relocate:

• Midtown New York, NY: Reliably commute or planning to relocate before starting work (Required)

Experience:

• Trading: 3 years (Preferred)

License/Certification:

• Series 7 (Required)

Work Location: One location

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