Lead Advisor
This range is provided by Lead Advisor. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $69,000.00/yr - $80,000.00/yr
Lead Advisor is a wealth management recruiting and consulting firm. This role is for one of our clients.
Investment Operations Service Associate
Our client is an award‑winning wealth management and financial planning practice in Westport, CT that is hiring for a registered service associate to expand our investment operations team capabilities. The responsibilities of this role include onboarding new investment clients and servicing existing clients. This role will require the candidate to have or obtain their Series 7 and 66 registrations. This is not a sales role.
RESPONSIBILITIES New Account Opening & Client On‑Boarding
Preparing and processing all paperwork needed for investment/advisory account opening
Monitoring, processing, and following up on asset transfers and funding of advisory and brokerage accounts
Facilitating 401(k)/IRA rollovers from other retirement plans
Trading new accounts to target allocation via initial trading and execution of any client‑specific transition planning and/or DCA schedule
Weekly updates and high‑touch service and support for new clients to the firm while in the onboarding process
Resolving any/all trade issues related to new accounts
Account Service, Portfolio Monitoring and Maintenance
Facilitating portfolio changes approved by the investment committee
Managing drift notices and compliance alerts and questions
Rebalancing accounts as needed due to market movement
Resolving all trade‑related issues for existing accounts
Proactively reminding clients of funding requirements and opportunities and executing as needed/directed (IRA, 529, RMDs, sideline cash, etc)
Raising cash through strategic position management to fund/maintain cash reserves and meet advisory fee needs
Client Service
Addressing client requests with clear, friendly and highly responsive communication
Executing cash/ money movements per client requests
Helping address client questions across topics including, but not limited to tax withholding, tax documents, fees, etc
Assisting clients with account utilization needs (check writing capability, margin loan set up, requests and repayment, etc)
Building Expertise and Promoting the Positive Reputation of the Practice
Full understanding and execution of compliance protocols
Building collaborative relationships with home office colleagues and resources
Improving systems and communicating with firm leadership to maintain efficiency, ensure reliability, and adapt to changes in our industry, at the company and within the firm
Working with other team members to ensure we fulfil the promises made to clients in a way that exceeds expectations whenever possible
Working with other team members to deliver a platinum level of client service (friendly, personal, accurate/knowledgeable and highly responsive)
A SUCCESSFUL CANDIDATE WILL BE:
Team player: will thrive in a fast‑paced, can‑do, divide and conquer, collaborative team setting
Sharp with demonstrated excellence
Accomplished (highly motivated/involved, ownership oriented)
Able to learn quickly and execute to an exacting standard
Procedural; will thrive on consistently maintaining highly organized processes and owning/seeing an exceptional number of dynamic tasks to completion…yet flexible enough to prioritize, triage, and be creative when needed
QUALIFICATIONS
1‑3 years of experience in an investment operations role or a very quick learner
Series 7 and 66 licenses securities trading or willing to get licensed within 6 months of hire
CT Life and Health license or willingness to get licensed within 6 months of hire
Exceptionally strong professional communication skills (verbal and written/email)
Strong attention to detail with the ability to work with a high degree of accuracy
A passion for working on an exceptional team and having fun while doing great work
Demonstrated ability to maintain effective working relationships with clients
Willingness to learn
Ability to embrace change and work in a fast‑paced environment
Fluency with traditional software programs; Experience with NetX360 and Envestnet is a plus
Location 4 days in office, Westport, CT.
Seniority level Associate
Employment type Full‑time
Job function Other
Industries: Financial Services and Investment Management
Get notified about new Investment Operations Associate jobs in Westport, CT.
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Base pay range $69,000.00/yr - $80,000.00/yr
Lead Advisor is a wealth management recruiting and consulting firm. This role is for one of our clients.
Investment Operations Service Associate
Our client is an award‑winning wealth management and financial planning practice in Westport, CT that is hiring for a registered service associate to expand our investment operations team capabilities. The responsibilities of this role include onboarding new investment clients and servicing existing clients. This role will require the candidate to have or obtain their Series 7 and 66 registrations. This is not a sales role.
RESPONSIBILITIES New Account Opening & Client On‑Boarding
Preparing and processing all paperwork needed for investment/advisory account opening
Monitoring, processing, and following up on asset transfers and funding of advisory and brokerage accounts
Facilitating 401(k)/IRA rollovers from other retirement plans
Trading new accounts to target allocation via initial trading and execution of any client‑specific transition planning and/or DCA schedule
Weekly updates and high‑touch service and support for new clients to the firm while in the onboarding process
Resolving any/all trade issues related to new accounts
Account Service, Portfolio Monitoring and Maintenance
Facilitating portfolio changes approved by the investment committee
Managing drift notices and compliance alerts and questions
Rebalancing accounts as needed due to market movement
Resolving all trade‑related issues for existing accounts
Proactively reminding clients of funding requirements and opportunities and executing as needed/directed (IRA, 529, RMDs, sideline cash, etc)
Raising cash through strategic position management to fund/maintain cash reserves and meet advisory fee needs
Client Service
Addressing client requests with clear, friendly and highly responsive communication
Executing cash/ money movements per client requests
Helping address client questions across topics including, but not limited to tax withholding, tax documents, fees, etc
Assisting clients with account utilization needs (check writing capability, margin loan set up, requests and repayment, etc)
Building Expertise and Promoting the Positive Reputation of the Practice
Full understanding and execution of compliance protocols
Building collaborative relationships with home office colleagues and resources
Improving systems and communicating with firm leadership to maintain efficiency, ensure reliability, and adapt to changes in our industry, at the company and within the firm
Working with other team members to ensure we fulfil the promises made to clients in a way that exceeds expectations whenever possible
Working with other team members to deliver a platinum level of client service (friendly, personal, accurate/knowledgeable and highly responsive)
A SUCCESSFUL CANDIDATE WILL BE:
Team player: will thrive in a fast‑paced, can‑do, divide and conquer, collaborative team setting
Sharp with demonstrated excellence
Accomplished (highly motivated/involved, ownership oriented)
Able to learn quickly and execute to an exacting standard
Procedural; will thrive on consistently maintaining highly organized processes and owning/seeing an exceptional number of dynamic tasks to completion…yet flexible enough to prioritize, triage, and be creative when needed
QUALIFICATIONS
1‑3 years of experience in an investment operations role or a very quick learner
Series 7 and 66 licenses securities trading or willing to get licensed within 6 months of hire
CT Life and Health license or willingness to get licensed within 6 months of hire
Exceptionally strong professional communication skills (verbal and written/email)
Strong attention to detail with the ability to work with a high degree of accuracy
A passion for working on an exceptional team and having fun while doing great work
Demonstrated ability to maintain effective working relationships with clients
Willingness to learn
Ability to embrace change and work in a fast‑paced environment
Fluency with traditional software programs; Experience with NetX360 and Envestnet is a plus
Location 4 days in office, Westport, CT.
Seniority level Associate
Employment type Full‑time
Job function Other
Industries: Financial Services and Investment Management
Get notified about new Investment Operations Associate jobs in Westport, CT.
#J-18808-Ljbffr