Senior Investment Operations Associate

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Direct message the job poster from Sentry Hill Financial Advisors, Northwestern Mutual

Chief Operations Officer at Sentry Hill Financial Advisors

Job Title: Senior Investment Operations Associate

Sector: Wealth Management/Investment Services

Reports to: COO

Job Summary:

Sentry Hill Financial Advisors is seeking a detail-oriented investment operations associate to support our wealth management team in delivering seamless and efficient investment services to our high-net-worth clients. As part of the Northwestern Mutual Private Client Group, the role’s objective will be to manage daily operations across all facets of the investment practice, including but not limited to ensuring accuracy of investment data, trade execution and settlement, performance reporting and other operational functions relating to portfolio management and client service. In this role, you will provide service directly to the founders of the firm and lead advisors of the practice, while streamlining communication between with various team members of Sentry Hill including investment analysts, insurance specialists, and home office employees.

Key Responsibilities:

Trade Support & Settlement:

· Rebalancing investment portfolios on ENV2 and NetX360 trade platforms.

· Daily monitoring of investment policy alerts and asset class drifts.

Cash/Money Market reconciliation:

· Monitoring daily cash flow to ensure deposit and withdrawal needs are met.

Performance Reporting, Client Onboarding and Servicing:

· Preparing and processing all investment account related paperwork.

· Preparing account information, performance reports and presentation material for client and prospect meetings.

· Assisting clients with all asset movement requests including investment account deposits and investment account distributions.

· Assisting clients with rollovers, account transfers and funding of accounts.

· Timely response to client inquires and team related requests.

Data and Client Record Management:

· Maintain clear and accurate client records while maintaining notes at every touch point.

Compliance and Audit Support:

· Communicating with home office when necessary to supply or attain information.

· Maintain compliant electronic client files with detailed case notes ensuring an audit trail of operational actions.

· Maintain proper licenses through continuing education and home office trainings.

Qualifications:

· Bachelor’s degree in finance, accounting, business, or related field.

· FINRA SIE, Series 7, 63 and 65 and/or 66 licensed.

· Life, Accident, and Health Insurance licenses preferred but not required for hire. Would need to be obtained within 3 months of hire.

· 5 Years+ experience in investment operations, including trading.

· Proficient in Microsoft Office Applications (Outlook, Word, and Excel).

· Ability to work independently with minimal supervision and collaborate effectively with others.

· Demonstrate excellent organizational, time management and problem-solving skills with the ability to set priorities and meet deadlines.

· Candidate should be detail-oriented and capable of handling diverse assignments with accuracy and timeliness.

· Excellent oral and written communication skills, self-confidence and professional demeanor.

· Ensure adherence to all industry regulations, including SEC, FINRA and firm-specific compliance requirements.

Who We Are:

We are a Boston based advisory firm within the Northwestern Mutual Private Client Group. We work with business professionals, business owners, and high-net-worth individuals across the United States providing comprehensive, tailored risk management solutions and financial planning strategies. Our dedicated team of advisors and specialists address unique and complex cases surrounding investing, tax efficiency and wealth protection across generations.

For further information or to be considered for employment, please submit your resume to Lauren Calder at

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Management and Manufacturing

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