A leading Registered Investment Advisor (RIA) firm committed to delivering exceptional investment management and financial planning services to clients is looking to add an investment operations associate to their team. This firm has a reputation for integrity, expertise, and client-centric solutions, and pride themselves on fostering a collaborative and innovative work environment.

Position Overview: In this role, the investment operations associate will support the operational aspects of the investment management processes, ensuring smooth and efficient day-to-day interaction with stakeholders, both internally and externally. This position offers an excellent opportunity for professional growth and development within a dynamic and client-focused organization.

Key Responsibilities:

• Trade Execution & Monitoring: Assist with the execution of trades, including equity, fixed income, and alternative investments. Monitor trade confirmations and resolve any discrepancies.
• Account Reconciliation: Perform daily and monthly reconciliation of client accounts, including cash, positions, and transactions. Investigate and resolve any discrepancies or issues.
• Portfolio Management Support: Aid in the maintenance of portfolio records, including updates to investment strategies and allocations. Provide support in generating performance reports and client statements.
• Client Service: Act as a point of contact for client inquiries related to account transactions, balances, and investment performance. Ensure timely and accurate responses to client requests.
• Compliance & Documentation: Ensure all operational processes comply with regulatory requirements and firm policies. Maintain accurate and up-to-date records of all transactions and client interactions.
• System Management: Assist with the management and maintenance of investment management software and tools. Help troubleshoot and resolve any system-related issues.
• Process Improvement: Identify opportunities to streamline operational processes and implement best practices to enhance efficiency and accuracy.

Qualifications:

• Education: Bachelor’s degree in Finance, Accounting, Business Administration, or a related field.
• Experience: Minimum of 2 year of experience in investment operations, fund administration, or a related role, preferably within an RIA or financial services environment. Series 7 & 63 certifications are a plus.
• Technical Skills: Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint). Experience with investment management systems and software is a plus.
• Analytical Skills: Strong analytical and problem-solving abilities. Detail-oriented with a focus on accuracy and completeness.
• Regulatory Knowledge: Familiarity with regulatory requirements and compliance related to investment operations and financial services.

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