Investment Associate

Ascent Wealth Partners; Grand Rapids (MI); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Medical/Dental/Vision

401(k)

Group Life/Disability

PTO

Paid Parental Leave

Job summary

Ascent Wealth Partners in Grand Rapids, Michigan is seeking an Investment Associate to support daily investment operations, trade processing, reporting, and client servicing within Northwestern Mutual’s broker-dealer framework.

The role emphasizes a client-centered approach, strong market understanding, and adherence to regulatory requirements. Ideal for someone aiming to grow through hands-on investment operations and direct client interaction.

Qualifications

• 2+ years investment experience.
• Must hold SIE, Series 7 and 63 licenses.
• In-office role in Grand Rapids, MI.
• Strong client-centered approach.

Responsibilities

• Perform operations of the firm’s investment functions, ensuring smooth processing of trades, portfolio rebalancing, and execution of client-directed investments platform, ensuring all systems are functioning efficiently and meet regulatory requirements.
• Manage the investment trade lifecycle, including order entry, trade settlement, trade reconciliations, and reporting.
• Ensure accurate and timely generation of client investment reports, performance reporting, and transaction confirmations.
• Maintain close and accurate records through the firm’s Client Relationship Management system.

Skills

Investment experience

Client service

Regulatory compliance

Education

SIE, Series 7 and 63 licenses

Job description

The Investment Associate is responsible for the investment operations of the firm utilizing Northwestern Mutual’s independent broker-dealer platform. This role involves hands-on execution of day-to-day operations, ensuring the efficiency of investment strategies, compliance, reporting, and client service. This role requires understanding of financial markets, investment products, operations within a broker-dealer framework, and the unique needs of our financial planning firm. This role is ideal for someone who desires a pathway to working closely with clients and has an excellent client-centered approach in their work.

ABOUT ASCENT WEALTH PARTNERS

Recognized as a Best-in-State Wealth Management Team in Michigan, we pride ourselves on providing personalized, high-level financial strategies that align with our clients' unique needs and values. Our team is dedicated to excellence, personal growth, and collaboration to provide the outstanding service to our clients.

ESSENTIAL ROLES & OUTCOMES

• Perform operations of the firm’s investment functions, ensuring the smooth processing of trades, portfolio rebalancing, and execution of client-directed investments platform, ensuring all systems are functioning efficiently and meet regulatory requirements.
• Manage the investment trade lifecycle, including order entry, trade settlement, trade reconciliations, and reporting.
• Ensure accurate and timely generation of client investment reports, performance reporting, and transaction confirmations.
• Maintain close and accurate records through the firm’s Client Relationship Management system.

LICENSING REQUIREMENTS

Life, Health, Annuities & Long-Term Care Insurance Licenses. SIE, Series 7 and 63.

COMPETENCIES

Integrity: Works ethically. Earns trust and maintains confidence.

Organization & Planning: plans, organizes, schedules in an efficient/productive manner

Follow Through: lives up to verbal and written agreements regardless of personal cost

Intelligence: Learns quickly, demonstrates ability to quickly and proficiently understand and absorb new information

Collaborative: comfortable working with others to achieve a common goal

Flexibility: adjusts quickly to changing priorities and conditions

Work Ethic: strong willingness to work hard and sometimes long hours to get job done right.

High Standards: expects personal and team performance to be nothing short of the best

Openness to ideas/criticism: solicits feedback and reacts calmly to constructive feedback

Proactivity: acts without being told what to do. Brings new ideas to the company.

Attention to Detail: does not let important details slip through the cracks.

Analytical Skill: able to structure and process data and draw insightful conclusions.

GROWTH PATH

Success in this role opens the door to exciting opportunities for growth, including stepping into high-level client relationship opportunities.

AWP HIRING EXPECTATIONS

• Full-Time Employment
• This is an in-office opportunity
• Investment Experience a must. 2+ years ideal.
• Base Salary: $70-90k commensurate with experience
• Benefits: Medical/Dental/Vision; 401(k); Group Life/Disability; PTO; Paid Parental Leave