Investment Operations Associate
Location: Westport, Connecticut (Possible alternate work location Roscoe, New York)
Overview
We are seeking an experienced Investment Operations Associate to support investment execution, portfolio oversight, tax-aware analysis, and client service for a growing practice in Westport, Connecticut. The role is intended for a licensed professional with hands-on experience in portfolio implementation and trading who thrives in a collaborative team environment. Participation in client meetings will occur based on client situation & needs.
Key Responsibilities:
Portfolio Implementation and Oversight
· Assist with onboarding brokerage and advisory accounts across custodial platforms
· Monitor investment portfolios for allocation drift, risk exposure, and alignment with strategy; propose adjustments with advisors and the Director of Planning
· Address time-sensitive investment requests and market-driven actions while adhering to firm policies, compliance standards, and regulatory requirements
Trading:
· Provide support for advisory trading activities, and management of investment models.
· Execute trades, rebalances, and allocation updates; implement approved model and strategy changes
· Ensure timely trade settlement, matching, and confirmation with brokers and custodians.
Asset Movement:
· Support & facilitate ACH, wire transfers, and ACAT transfers between accounts and custodians.
· Verify, Authenticate and document all client asset movements in accordance with company procedures.
Tax-Aware Investing
· Evaluate tax implications of trades in taxable accounts
· Execute tax-efficient trades, including appropriate tax lot selection and capital gains management
· Identify and implement tax-loss harvesting when suitable
· Coordinate investment-related tax considerations with advisors and external tax professionals
Planning and Client Collaboration
· Partner with the Director of Planning to incorporate investment inputs into client financial plans
· Provide portfolio analysis to support planning recommendations
· Prepare for and participate in client meetings, as needed. Ability to listen accurately, document outcomes and coordinate follow-up actions
· Maintain accurate client information & collaborate with team to prepare for client meetings
Operations and Case Management
· Prepare investment proposals and supporting materials
· Process account openings, transfers, and service requests; track progress and resolve issues with operations and compliance
· Ensure timely completion of required actions and clear communication with stakeholders
Client Service
· Provide responsive, organized support for investment and operational inquiries
· Deliver high-quality client service that reflects attention to detail and accountability
Qualifications
Required
· Investment Licensed: Active Series 7 and Series 63.
· 2+ years of experience in wealth management, investment advisory, or brokerage firm
· Demonstrated experience executing trades and supporting portfolio management
· Strong understanding of asset allocation, portfolio construction, investment vehicles, & has experience with both taxable and tax-advantaged accounts
· Strong analytical, organizational, and detail orientation, ability to prioritize time-sensitive work.
Preferred
· CFP designation or progress toward CFP certification
· Client service experience in an advisory or RIA environment
· Familiarity with custodial platforms and portfolio management systems, including Netx360 & Env2.
· Knowledge & experience in managing tax-efficient strategies for high-net-worth clients
Ideal Candidate Profile
· A client focused, execution-oriented, detail-focused teammate who manages day-to-day investment portfolio implementation and operations, collaborates effectively with the team on financial plan execution, and takes pride in delivering accurate, timely work. This individual is intellectually engaged with markets and portfolio dynamics and acts decisively when client needs or market conditions require prompt action.
· They have experience in the client service business, are caring and have a general desire to be helpful, proven ability to create trust and support high trust client relationships. Someone who is motivated by a high performance team, that can take the bull by the horns when needed & is hardwired to deliver, all with a can do attitude with a smile on their face.
Location: 3x a week in office
Salary: 70-80k
