Client Service and Investment Operations

Atlas Search; Bethlehem (Northampton County); On-site; USD 60,000 - 85,000; Full time

Job summary

A financial services company in Northampton County is seeking an Investment Operations Associate to handle client account management and ensure compliance with regulatory standards. Key responsibilities include preparing paperwork for clients, executing trades based on recommendations, and maintaining account documentation. The ideal candidate has a bachelor's degree and some experience in investment operations. This role offers a competitive salary ranging from $60,000 to $85,000 annually, commensurate with experience.

Qualifications

• Prior experience in investment or financial planning operations required.
• FINRA SIE, Series 7 and Series 66 required within first 4 months.
• Familiarity with financial planning software preferred.

Responsibilities

• Prepare and process new account paperwork for clients.
• Ensure documentation meets regulatory standards.
• Execute trades based on recommendations.

Skills

Attention to detail

Verbal communication

Organizational skills

Technical proficiency with CRM systems

Education

Bachelor’s degree

Tools

Orion

Redtail

MoneyGuidePro

Job description

Client Service and Investment Operations

This role is part of Atlas Search and offers a base salary mogen of $ acest 60,000.00/yr - $85,000.00/yr.

Job Title

Investment Operations Associate

Key Responsibilities

• Prepare and process new account paperwork for institutional and HNW clients, including annuity accounts.
• Ensure all documentation meets regulatory and internal compliance standards.
• Set up and maintain client accounts within portfolio management systems.
• Execute trades based on analyst recommendations or at the direction of advisors/clients.
• Manage routine client service requests including account access, distributions, and information delivery.
• Initiate and facilitate transfers of cash and securities.
• Receive and direct client checks to appropriate vendors or custodians.
• Calculate and process annual IRA distributions.
• Generate client proposals using financial planning software.
• Communicate professionally and regularly with clients, custodians, vendors, and internal stakeholders.
• Complete ad hoc projects and provide operational support as needed.

Company Requirements

• Prior experience in investment or financial planning operations required (or relevant industry equivalent).
• Bachelor’s degree required.
• FINRA SIE, Series 7 and Series 66 required or must be completed within the first 4 months of employment.
• Familiarity with financial planning software and concepts (e.g.,clock, MoneyGuidePro) preferred.

Skills & Attributes

• Strong attention to detail with excellent organizational skills. pinned
• Effective verbal and written communication abilities.
• High level of discretion in handling confidential information.
• Ability to manage multiple priorities under time constraints.
• Tech‑savvy and comfortable using portfolio management and CRM systems like Orion or Redtail.
• Strong.