Registered Investment Operations Associate - Wealth Management
The Registered Investment Operations Associate supports financial advisors and clients by providing exceptional service, executing securities trades, and assisting with investment and financial planning activities. The ideal candidate possesses strong analytical skills, attention to detail, securities industry knowledge, and the ability to manage multiple priorities.
Compensation:
$60,000 - $70,000 yearly
Responsibilities:-
Confirm money movement requests with clients
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Ensure accurate and timely trade execution to maintain client satisfaction and trust
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Conduct thorough investment research to provide actionable insights for client portfolios
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Analyze financial data and portfolio performance to ensure alignment with client goals
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Prepare comprehensive client reports
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Maintain client accounts with meticulous attention to detail, ensuring all information is up-to-date and accurate
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Prepare paperwork for account opening and maintenance
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Prepare investment proposals
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Understand and keep the team updated on key compliance requirements
Qualifications:-
Bachelor's degree (required)
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Securities licensure (required or willing to obtain within 6 months)
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Trading experience preferred
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3-5 years of experience in a related field
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Close attention to detail and excellent organizational skills - this role is great for a perfectionist
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Strong communication and interpersonal skills. Every team member will have direct contact with clients
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Enhanced communication skills to effectively bridge the remote work gap and maintain strong client and team relationships
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High level of personal responsibility and ability to work independently in a remote setting
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Miscellaneous administrative duties as appropriate/assigned
About Company
We are a growing financial planning firm dedicated to helping individuals and families achieve their financial goals. We specialize in helping clients manage inheritances, providing expert guidance to ensure their financial future is secure. We pride ourselves on delivering personalized, high-quality financial advice and exceptional client service. Our team is committed to integrity, professionalism, and excellence in everything we do. Community involvement is a cornerstone of our values, and we take pride in actively supporting and engaging with the communities we serve.
Benefits
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W-2 employment status
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Twelve (12) paid company holidays with a year-end extended winter break
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Opportunities for professional development and growth within the firm.
