Top 42 Investment associate Jobs in Boca Raton Fl

IRA & Roth Conversion Specialist – Associate, Concorde Virtual Assistant (CVA) Program
Concorde Investment Services —Boca Raton, FL
- $80,000 - $95,000 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Mid-level
- Office
- Health savings account
- Health insurance
Quick Apply
Associate, Concorde Virtual Assistant (CVA) Program
Concorde Investment Services —Boca Raton, FL
- $50,000 - $60,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- Continuous improvement
- Health savings account
- Health insurance
Quick Apply
Registered Wealth Management Client Associate
Bank of America —Boca Raton, FL
- Full-time
- Microsoft Word
- Microsoft Excel
- Writing skills
14d
Investment Real Estate - Dispositions Associate.
Vertigo Real Estate Ventures —Delray Beach, FL
- $100,000 - $200,000 a year
- Full-time
- Mid-level
- Business development experience
- Driver's License
- Opportunities for advancement
Associate Wealth Advisor
Perigon Wealth Management —Boca Raton, FL
- Microsoft Excel
- Research
- Mid-level
- Dental insurance
- Vision insurance
Investment Associate (Financial Services)
Hennion & Walsh Inc —Boca Raton, FL
- $30,000 - $61,000 a year
- Customer service
- Office
- Bachelor's degree
- Paid training
- Health insurance
Quick Apply
2d
Investor Relations Associate
Investo Capital USA —Davie, FL
- From $70,000 a year
- Full-time
- Microsoft PowerPoint
- Background check
- Spanish
- Health insurance
- Employee discount
Quick Apply
Associate Financial Advisor
Edward Jones —Florida
- Full-time
- Research
- Office
- High school diploma or GED
- Profit sharing
- Paid training
Private Wealth Management Registered Client Service Associate
Morgan Stanley —West Palm Beach, FL
- Microsoft Excel
- Microsoft Outlook
- Writing skills
Registered Client Service Associate
Stonebrook Wealth Management —Boca Raton, FL
- $72,000 - $90,000 a year
- Full-time
- Background check
- Office
- Bachelor's degree
- 401(k)
- 401(k) matching
Quick Apply
Junior Associate Wealth Management
Watermark Capital Management —Fort Lauderdale, FL
- $52,000 - $120,000 a year
- Full-time
- Analysis skills
- Math
- Bachelor's degree
Quick Apply
Wealth Management Associate
Planning Alliance —Boca Raton, FL
- $50,000 - $100,000 a year
- Full-time
- Hybrid work
- Background check
- Mid-level
- Finance
- Paid training
- Health savings account
Quick Apply
Investment Associate
Storage Rentals of America —West Palm Beach, FL
- Weekends as needed
- Microsoft Excel
- Mid-level
- Office
- Paid parental leave
- Health savings account
Quick Apply
Wealth Management Associate
Watermark Capital Management —Fort Lauderdale, FL
- $52,000 - $120,000 a year
- Full-time
- Analysis skills
- Math
- Bachelor's degree
Quick Apply
Associate Wealth Advisor
Northern Trust Corp. —Boca Raton, FL
- Full-time
- Management
- Research
- Mid-level
Business Development Associate
MayTech Global Investments —Boca Raton, FL
- Full-time
- Mid-level
- Analysis skills
- Communication skills
- Health insurance
- Opportunities for advancement
Quick Apply
Registered Client Service Associate
Morgan Stanley —Fort Lauderdale, FL
- Full-time
- Spanish
- Writing skills
- English
14d
Asset & Wealth Management, Private Wealth Advisor, Associate - West Palm Beach
Goldman Sachs —West Palm Beach, FL
- Mid-level
- Office
- Business development experience
- Disability insurance
- Health insurance
Wealth Management Associate
Equitable Advisors —Fort Lauderdale, FL
- Mid-level
- Office
- Bachelor's degree
- Employee stock purchase plan
- Disability insurance
Analyst /Associate, Development (Commercial Office)
Related —West Palm Beach, FL
- Full-time
- Sales
- Mid-level
- Office
- Health savings account
- AD&D insurance
Quick Apply

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IRA & Roth Conversion Specialist – Associate, Concorde Virtual Assistant (CVA) Program

Concorde Investment Services -
Boca Raton, FL

Quick Apply

Job Details

Full-time
$80,000 - $95,000 a year

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Paid time off
Vision insurance
401(k) matching
Life insurance

Qualifications

Electronic fund transfers
Teamwork
Microsoft Excel
Money transfers
Process improvement
Series 7
Data entry
Data accuracy checks
Experience at securities companies
Quality data entry

Full Job Description

Overview

The Associate, Concorde Virtual Assistant (CVA) Program – IRA & Roth Conversion Specialist is a transaction-focused role responsible for supporting financial professionals with IRA-related workflows, including rollovers, transfers, and Roth conversions.

This role is not a general operations position. It is a specialized function combining IRA technical expertise, broker-dealer operational precision, and advisor-facing execution support.

The individual in this role acts as a transaction quarterback, ensuring that IRA and Roth conversion transactions are structured correctly, submitted cleanly, and processed efficiently from initiation through completion.

Location & Work Structure

This position is based in Boca Raton, Florida. The role will begin remotely and transition to regular in-office collaboration once the office is operational. Candidates must be located in or willing to relocate to the Boca Raton area. This will not permanently be a remote or hybrid role.

Key Responsibilities

IRA & Roth Conversion Execution (Primary Focus)

Serve as the dedicated operational specialist for IRA-related transactions, including:
Traditional, Roth, SEP, and SIMPLE IRAs
Direct and indirect rollovers (including 60-day rule considerations)
Roth conversions (cash and in-kind)
Guide financial professionals through Roth conversion workflows, including:
Tax implications (ordinary income recognition)
Timing considerations (calendar year vs. settlement timing)
Withholding elections and potential errors
Identify and proactively address transaction risks, including:
Pro-rata rule implications across aggregated IRA accounts
Partial conversions
Improper structuring or incomplete documentation

Custodial & Transfer Processing

Execute and support account transfers, including:
ACATS and non-ACATS transfers
Custodian-to-custodian transfers vs. client-driven rollovers
Work across custodial platforms such as Schwab, Fidelity, Pershing, CNB, or similar
Review and troubleshoot transfer paperwork to ensure accuracy and completion

New Account Processing & NIGO Prevention

Pre-screen all submissions prior to compliance review to ensure they are in good order
Identify and correct common NIGO issues, including:
Missing or inconsistent signatures
Incorrect account registrations
Mismatched identifying information (e.g., SSNs, account titles)
Inconsistent dollar amounts across documents
Ensure alignment across all documentation, including IRA adoption agreements, transfer forms, and subscription documents

Compliance & Regulatory Awareness

Operate with a working understanding of:
FINRA expectations
Anti-money laundering (AML) red flags
Prohibited transaction rules under IRC §4975
Identify and escalate potential compliance or suitability concerns
Maintain audit-ready documentation standards across all transactions

Alternative Investment Integration

Support IRA and Roth conversion transactions involving alternative investments, including:
Subscription agreements
Suitability questionnaires
Accreditation verification
Funding timelines tied to closing windows
Ensure alignment between IRA structures and alternative investment requirements

Advisor Support & Communication

Act as a primary point of contact for financial professionals executing IRA and conversion strategies
Translate complex IRA rules into clear, actionable guidance
Provide direct, solution-oriented feedback, including:
“This will be rejected because of X—here’s how to fix it”
Proactively guide financial professionals toward cleaner submissions and more efficient workflows

Operational Execution & Throughput Management

Manage multiple concurrent transactions across financial professionals with minimal oversight
Prioritize work based on urgency, including:
Time-sensitive funding deadlines
Investment closing windows
Track transaction status, outstanding requirements, and funding progress
Maintain consistent throughput while ensuring accuracy and compliance

Training & Advisor Enablement

Educate financial professionals and their staff on:
IRA rules, including RMDs, beneficiary designations, and inherited IRA considerations
Roth conversion mechanics and common pitfalls
Best practices for submission quality and documentation
Reinforce process discipline and reduce repeat errors through ongoing feedback

Team Collaboration

Partner with Operations, Compliance, and custodians to resolve complex transaction issues
Contribute to standardized workflows and process improvements
Support a team-first environment by sharing knowledge and best practices

Qualifications & Skills

Technical Expertise (Required)

Strong working knowledge of:
Traditional, Roth, SEP, and SIMPLE IRAs
Contribution limits, eligibility rules, and Required Minimum Distributions (RMDs)
Beneficiary designations and inherited IRA rules
Roth conversion mechanics, including tax implications and pro-rata rule application
Understanding of:
ACATS and non-ACATS transfers
Direct vs. indirect rollovers

Broker-Dealer Operations Experience

Experience with new account processing and transfer workflows
Strong understanding of NIGO conditions and prevention
Familiarity with:
IRA adoption agreements
Transfer forms and LOAs
Subscription agreements

Detail Orientation & Accuracy

Ability to reconcile:
Account titles across documents
Dollar amounts across forms and systems
Client identifying information across all records
Strong checklist discipline and process consistency
High level of precision in data entry and documentation

Advisor-Facing Communication

Ability to clearly explain complex concepts in practical terms
Strong written and verbal communication skills
Ability to provide direct, constructive feedback to financial professionals

Technology & Systems

Experience with CRM systems (e.g., Redtail, Salesforce, or similar)
Familiarity with document management and e-signature platforms (e.g., DocuSign)
Intermediate Excel skills for tracking pipelines and reconciling transactions

Licensing Requirements (Preferred)

Securities Industry Essentials (SIE) preferred
Series 99 or Series 7 preferred, or willingness to obtain within 6–12 months of hire
Candidates with active licenses strongly preferred

Core Competencies

Ownership & Accountability
Advisor Experience Focus
Execution & Precision
Problem Anticipation
Independent Workflow Management

Success Profile

A successful candidate in this role:

Anticipates issues before submission rather than reacting after rejection
Understands both IRA tax mechanics and operational workflows
Improves processing speed, reduces NIGO rates, and enhances advisor experience
Operates independently while managing high transaction volume

Additional Notes

This role supports a national advisor base with fluctuating transaction volume, including end-of-quarter and year-end spikes
Success is measured by:
Reduction in NIGO rates
Transaction accuracy and processing speed
Advisor satisfaction and engagement

Pay: $80,000.00 - $95,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Health insurance
Health savings account
Life insurance
Paid time off
Vision insurance

Experience:

IRA & Roth conversions including alternative investments: 1 year (Required)

License/Certification:

Series 99 or Series 7 (Preferred)

Work Location: In person

Quick Apply

Refine Your Search

investment associate jobs in boca raton fl

IRA & Roth Conversion Specialist – Associate, Concorde Virtual Assistant (CVA) Program

Associate, Concorde Virtual Assistant (CVA) Program

Registered Wealth Management Client Associate

Investment Real Estate - Dispositions Associate.

Associate Wealth Advisor

Investment Associate (Financial Services)

Investor Relations Associate

Associate Financial Advisor

Private Wealth Management Registered Client Service Associate

Registered Client Service Associate

Junior Associate Wealth Management

Wealth Management Associate

Investment Associate

Wealth Management Associate

Associate Wealth Advisor

Business Development Associate

Registered Client Service Associate

Asset & Wealth Management, Private Wealth Advisor, Associate - West Palm Beach

Wealth Management Associate

Analyst /Associate, Development (Commercial Office)

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