Investment Operations Associate

The Investment Services Associate is a key member of the Portfolio Management and Investments Operations teams supporting areas including trade processes, data management, client reporting, portfolio management functions and oversight of Investment Policy violations.

This position requires strong analytical skills, attention to detail, a positive professional attitude, and ability to work in a team environment.

• Process or collaborate to open/fund investment accounts and investment service requests such as funds disbursements, account transfers and trade correction requests.
• Manage account maintenance and service requests including funds disbursements, account transfers.
• Respond to registered representative administrative requests.
• Process trade correction requests per approval from Agency Supervisor/Senior Investment Operations Associate.
• Act as Liaison for FR NMIS needs, client service access, mutual fund access, and troubleshoot paperwork that is lost or processed incorrectly.
• Compile meeting kits which include all materials needed for the approach, close, and delivery.
• Conduct weekly status reports/summary of Financial Representatives supported.
• Keeping appropriate notes of trade activity and handling other assigned administrative duties.
• Interfacing with research departments, investment operations, and financial advisors.
• Assisting the research department and investment operations when the market is closed.
• Executing strategic asset allocation and/or investment changes.
• Staying up to date on accounting and financial.
• Providing administrative coordination with trading, operations, client service.
• Overseeing Investment Policy Violations and keeping portfolios within allowable variance.
• Processing trade corrections for both brokerage and advisory, if necessary.

• Bachelor's degree or equivalent.
• Strong interpersonal skills and a self-motivated.
• 1-3 years working experience.
• SIE and Series 7 preferred (or willing to obtain within 90-days).
• Proficient in Microsoft Suite Programs (Excel, Word, Outlook, PowerPoint).