Overview
Our client, a respected firm in the financial services industry, is seeking a detail-oriented and experienced Investment Operations Specialist to join their team in Milwaukee, WI. This role is responsible for servicing existing investment accounts, ensuring seamless operations, and delivering exceptional client service. The ideal candidate will possess a blend of technical expertise, proactive problem-solving skills, and the ability to navigate a fast-paced, dynamic environment.
Key Responsibilities
Investment Account Management
- Process and follow up on asset transfers and funding of advisory accounts.
- Execute initial asset allocation transactions and manage subsequent rebalancing or reallocations.
- Process proposal amendments, monitor alerts, and manage annual reviews using Envestnet.
- Execute buy or sell orders and rebalancing orders to maintain asset allocation strategies.
- Resolve trade-related issues, including trade rejects, and ensure compliance with program eligibility for holdings.
- Monitor and execute incoming cash contributions and outgoing distributions in alignment with client needs and investment strategies.
- Remediate supervisory and compliance violations as needed.
Client Service
- Provide prompt and professional assistance to clients, maintaining confidentiality and professionalism.
- Offer expertise in investment operations to support client needs and enhance their experience.
- Act as a knowledgeable resource for internal and external stakeholders on investment-related matters.
Qualifications
- 3-5 years of experience in investment operations
- Active Series 7 and 63 licenses
- Proficiency in financial tools and applications, including Envestnet, NetX360, CRM systems, and Excel
Compensation
- Base Salary: $80,000 - $95,000 per year
- Total Compensation (including bonus opportunities): $90,000 - $115,000 annually
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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