Compensation: $60,000 - $90,000 annual base salary with health and retirement benefits
Our client is a boutique wealth management firm dedicated to providing exceptional service and results for their clients. They pride themselves on treating every family as though they are their only client. As a small, close-knit team, they embrace the dynamic nature of our work and the opportunity to wear many hats.
Position Overview
As an Investment Operations Associate, you will be at the core of business operations, managing a broad range of tasks that are critical to success. This role involves taking ownership of key functions, ensuring smooth operations, and building and maintaining essential client relationships.
Key Responsibilities
- Manage and execute trade settlements, portfolio reconciliations, and cash management. Ensure accuracy and timeliness in all transactions. Assist in onboarding new accounts, including the collection of required documentation.
- Prepare detailed financial reports and materials for client review meetings. Conduct performance analyses and create client statements, providing clear insights to support strategic decisions.
- Identify inefficiencies in operational workflows and implement innovative solutions to streamline processes and enhance performance. Proactively identify service opportunities for existing clients and oversee the execution of these opportunities.
- Serve as a key point of contact for clients and partners. Address inquiries, resolve service requests or issues related to insurance and investment products, variable annuities, and financial products.
- Take ownership of various projects, from system upgrades to new process implementations. Assist in maintaining and enhancing marketing efforts.
- Monitor compliance with regulatory requirements and internal policies. Implement risk management strategies to safeguard operations.
- Assist with other projects and administrative duties as needed.
Qualifications
- Bachelor’s degree in Finance, Accounting, Business, or a related field.
- Must have the Series 7 & 66 or the Series 7 & 65
- Life & health insurance licensing preferred
- 5+ years in investment operations or a similar role, with a strong understanding of investment products, insurance, and operational processes.
- Comfortable working in a small team of fewer than 10 people and managing a variety of tasks.
- Ability to work PST hours (8AM - 4:30PM PST)
What We Do
Based in Northern California’s wine country, our consulting firm believes that if your employees truly are your best asset, then the quickest way to grow your business is to get better at getting (and keeping) better people.
We offer turnkey solutions that leave our clients with a repeatable process in place so that value continues to be created even after the retainer ends. Our ideal clients are small to medium businesses that know they can improve their talent acquisition and retention strategies, but they just don’t know where to begin.
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