Department: Operations & Client Services
Position Type: Entry-Level / Full-Time
Position Summary
The Investment Operations / Administrative Assistant plays a vital foundational role in supporting the daily operations of the firm. This position ensures the seamless execution of client services, maintains strict adherence to regulatory and compliance standards, and provides administrative support to senior management and portfolio managers. The ideal candidate is detail-oriented, highly organized, and capable of handling sensitive financial information with absolute discretion.
Key Responsibilities
1. Client Onboarding & Account Administration
- Assist in preparing and processing new client onboarding documentation, including account applications, transfer forms (ACATS), and investment management agreements.
- Maintain accurate client demographic and account data within the firm’s CRM (Customer Relationship Management) system and portfolio management software.
- Coordinate with custodians (e.g., Charles Schwab, Fidelity, or similar institutional custodians) to ensure timely account opening and asset transfers.
2. Operational & Compliance Support
- Assist the Chief Compliance Officer (CCO) and operations manager in maintaining corporate records, archiving communication logs, and organizing files for annual regulatory reviews.
- Help assemble and track periodic compliance questionnaires, Form ADV updates, and related disclosures.
- Assist with day-to-day back-office operations, such as tracking trade settlements, reviewing daily cash reports, and reconciling discrepancies.
3. General Administration & Investor Relations
- Manage incoming client inquiries, direct phone calls, and schedule review meetings or portfolio consultations.
- Prepare materials for client reviews, including performance reports, account statements, and introductory packets.
- Handle executive administrative tasks for the firm’s principals, including calendar management, travel coordination, and meeting logistics.
4. Qualifications & Skills
- Technical Proficiency: Advanced proficiency in Microsoft Office Suite (particularly Excel for data organization and Word for document drafting) and familiarity with modern CRM platforms.
- Attention to Detail: Exceptional organizational skills with a high degree of accuracy, especially when handling financial data and legal or compliance paperwork.
- Communication: Professional verbal and written communication skills; ability to interact tactfully with high-net-worth clients and external service providers. Bilingual English and Spanish.
- Discretion: Uncompromising integrity and ability to maintain strict confidentiality regarding client assets and corporate financial data.
Pay: From $45,000.00 per year
Benefits:
Work Location: In person
