Investment Operations Specialist

Lead-Advisor • Full-time • Skokie, Illinois, United States • $60k - $75k / year • 2w ago

Our client is a growing wealth management firm seeking an Investment Operations Specialist to join us in our mission of helping our clients achieve the financial future of their dreams. The Investment Ops specialist plays a crucial role in daily investment trading, operations and client communications. They must be able to work independently and effectively with other staff members, clients, and financial advisors. Our culture is fast-paced, motivational, and focused on improving our client’s lives.

Our dynamic team member will be responsible for:

Collaborating with the Financial Advisor on advisory portfolio construction while adhering to company guidelines.
Staying informed of company, market and overall financial planning news and trends.
Securities trading across brokerage and advisory platforms
Preparing client planning analysis using company provided software.
Managing the account opening process and to ensure timely account opening and funding.
Communicating, implementing, and ensuring company compliance with policies and regulations.
Conducting client calls to gather statements, compliance requirements and assistance with account transfers and rollovers.
Communicating effectively with clients in person, in writing, and over the telephone. May occasionally meet with clients in person to gather information and complete paperwork and collect checks.
Collaborating with CPA and attorney partners for trusts and complex account processes.
Managing assignments with frequently changing priorities and deadlines in a fast-paced environment
Demonstrating a sense of urgency with client requests, using a variety of software systems, and partnering with home office teams.
Meeting with Mutual Fund and wholesale partners to stay up to date on market trends and offerings.
Utilizing processes and systems to organize and track complex tasks.
Reviewing client account statements for opportunities and recommendations.
Assisting prospects and clients with the online website registration and providing technical support when needed.
Preparing client annual review documents for client meetings
Updating client account records within company database
Adhering to strict confidentiality guidelines
Performing other duties as assigned

Knowledge, Skills, & Abilities

Required:

· Series 7,

· 1-3 years of financial industry experience

· Bachelor’s degree

· Strong communication and interpersonal skills: Candidates should have the experience and professionalism to communicate effectively with high-net-worth clients.

· Exceptional phone etiquette and written correspondence skills

· Excellent organizational and time management skills: Candidates must be able to work independently and with accuracy under tight time constraints.

· Candidates must be able to carry out multiple daily assignments with an emphasis on quality of work and effectiveness of tasks, including prompt follow-up with clients.

· Resourcefulness

· Dependable with a strong work ethic

Preferred:

· CFP ®, CFA® or other financial designation a plus.

3x in office

60k to 75k