Investment Operations Associate

4 weeks ago

Washington, United States LUX Wealth Planning Full time

High producing, massively growing firm is looking for a dynamic, experienced professional to join our team as an Investment Operations Associate. Detail-oriented and always connecting dots, they bring knowledge of operations and are energized by partnering with other areas of the practice as needed.  Comfortable working autonomously and within a high-performing team, this candidate is a smart, take-charge individual with effective communication skills and impeccable follow-through. 


How Others Describe You

A person of integrity who finishes what you start; a process-oriented, self-energized, organized multi-tasker who works well in a fast-paced environment and prioritizes tasks for exceptional delivery; pleasantly persistent, comfortable creating urgency to help others achieve their goals; compliance-minded while also being an innovative thinker that collaborates with others to build and maintain operational processes.


Description of Position

Ensure high-caliber member service through day-to-day execution and next-level process innovation, including but not limited to:


Support

·      Documenting investment tasks and actions with diligence, timeliness, and transparency

·      Responding to corporate office account inquiries

·      Maintaining annual review notes pertaining to investments

·      Monitoring industry trends and research

·      Monitoring daily reports via NetX360

·      Understanding functionality and efficiently handling member cash management accounts

·      Ensuring compliance requirements are implemented and followed


Proposals and Case Prep

·      Preparing for annual reviews by running investment reports

·      Preparing and modifying investment proposals

·      Preparing letter of instruction for member signature

·      Preparing investment policy statement and statement of investment selection


Processing Accounts

·      Preparing and processing all paperwork needed for investment brokerage/advisory accounts

·      Processing and monitoring funding and asset transfers to ensure selected asset allocation is implemented

·      Identifying appropriate forms and guiding members to successful completion

·      Discussing potential rollover opportunities from other retirement plans

·      Executing back door Roth IRA and Roth Conversions

·      Receiving and forwarding checks and related paperwork to investment operations area

·      Processing proposal amendments in Envestnet

·      Monitoring Envestnet and NetX360 for alerts and upcoming annual reviews

·      Rebalancing portfolios within the investment platform

·      Administering investment accounts according to program guidelines

·      Executing investment strategies, like Tax Loss Harvesting


Member Service

·      Servicing member needs and persistently following up to complete investment services in a timely manner

·      Contacting members on behalf of advisors to develop advisory plan

·      Explaining advisory products or advisory performance

·      Accepting redemptions/withdrawals from members and communicating instructions to home office

·      Discussing tax consequences, costs and advisory fees with members

·      Supporting advisors in addressing down-market opportunities

·      Running performance reports in Envestnet, Morningstar and proprietary software tools


Character Traits

·      Works well in a fast-paced environment and can prioritize tasks

·     Completes tasks quickly without sacrificing quality and accuracy

·      Highly accountable and goal-oriented, with impeccable follow-through

·      Extremely strong confidentiality and work ethic

·      Energetic, proactive, and comfortable learning on the fly

·      Competitive by nature, with an optimal balance of assertiveness, communication, and team-player attitude

·      Extraordinary customer service and professionalism

·      Prompt with time and deadlines


Requirements

·      Demonstrated commitment to education and growth

·      3+ years of experience handling investment operations serving personal market clients

·      FINRA SIE exam

·      FINRA Series 7 (or already has 6 and will obtain 7 within 3 months)

·      FINRA Series 63 exam

·      Fluent with CRM Systems, Microsoft Excel, and great at writing


Growth Potential

Our firm is growing and looking for an “A” player who wants to grow with us and aspires to pass the Series 7 and become an Associate Wealth Management Advisor.


Compensation

Base Salary, Bonus Opportunities, 401(k) with matching, paid time off, and health, vision, and dental insurance; short-term and long-term disability and life insurance.

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