Investment Operations Associate

CMC Recruiting; Englewood (CO); Hybrid; USD 86,000 - 105,000; Full time

Benefits offered by this job

Medical coverage 90%

Dental/vision coverage 100%

401(k) match up to 3%

Quarterly bonus potential

Job summary

CMC Recruiting is seeking an experienced Investment Operations Associate in Englewood, CO. The role offers a base salary of $95K+ with quarterly bonus potential and comprehensive benefits.

The position is fully in office for the first 90 days, transitioning to a hybrid schedule thereafter, with a strong emphasis on accurate account administration and client service. The ideal candidate will have a deep financial services background, relevant licenses, and the ability to manage complex client

Qualifications

• At least 3+ years in financial services/investment experience.
• Licenses required: Series 7, Series 63, Series 65/66; Life/Health insurance licenses or ability to obtain within six months.
• Experience with NetX360, Envestnet/Folio, and CRM systems preferred.

Responsibilities

• Provide investment operations, client service, and advisor support.
• Process and maintain advisory and investment accounts and related documentation.
• Support advisors with financial planning materials and client meetings.

Skills

Client service excellence

Attention to detail

Communication skills

Time management

Team collaboration

Education

Series 7

Series 63

Series 65/66

Life and Health insurance licenses

Tools

NetX360

Envestnet/Folio

CRM systems

Job description

Location: Englewood, CO (Fully in office first 90 days/ Hybrid Schedule after 90 days)

Compensation: $95K+ Base Salary + Quarterly Bonus Potential + Benefits

Position Overview:

Our client, an established wealth management firm, is seeking an experienced Investment Operations Associate to provide comprehensive investment operations, client service, and advisor support. This is a hands‑on position with significant responsibility for investment account administration, transaction processing, financial planning support, compliance coordination, and investment proposal preparation. The Investment Operations Associate will work closely with Financial Advisors and the Director of Investments to ensure client needs are handled accurately, efficiently, and with exceptional attention to detail.

The ideal candidate brings a strong financial services background, relevant securities licensing, and the ability to independently manage complex client service and operational responsibilities while contributing to a collaborative, client‑focused team.

Key Responsibilities:

Client Service & Relationship Support:

• Provide responsive, professional support to clients regarding account‑related questions, transactions, and ongoing service needs
• Assist clients with cash management, required minimum distributions (RMDs), standing instructions, stock options, and retirement plan servicing
• Coordinate client requests and ensure accurate, timely follow‑through
• Maintain strong client relationships through clear communication, attention to detail, and proactive service
• Support advisors in delivering a consistent and high‑quality client experience; could include participating in client meetings to discuss investment strategy and products

Investment Operations & Account Administration:

• Process and maintain advisory and investment accounts, including new account openings, transfers, rollovers, deposits, withdrawals, distributions, and beneficiary updates
• Monitor account activity, advisory funding, and asset transfers to ensure timely and accurate completion
• Track compliance‑related items and coordinate required documentation
• Maintain accurate client records, account information, and service activities within the firm's CRM
• Support investment operations and ongoing account administration
• Assist with performance reporting and maintaining accurate investment account information
• Prepare materials for client meetings, annual reviews, financial plans, investment proposals, and investment policy statements
• Gather and organize client financial information to support planning and investment recommendations
• Assist advisors with financial planning software, including PX
• Support the preparation of investment recommendations and related client materials
• Coordinate meeting preparation and follow‑up to ensure advisors have accurate and complete information
• Monitor client annual review schedules and assist with ongoing planning activities
• Work closely with Financial Advisors, the Director of Investments, and other team members to coordinate client service and investment‑related activities
• Maintain awareness of outstanding client requests, deadlines, and compliance requirements
• Ensure client documentation and account activities are completed accurately and in accordance with firm procedures
• Manage multiple priorities independently while collaborating effectively across the team
• Contribute to an organized, efficient, and service‑oriented work environment

Qualifications:

• 3+ Financial services/ investment experience required
• Series 7, Series 63, and Series 65/66 licenses required
• Life and Health insurance licenses required or ability to obtain within six months
• Experience with NetX360, Envestnet/Folio, and CRM systems preferred
• Strong understanding of investment account administration, client service, and financial services operations
• Excellent verbal and written communication skills
• Strong client relationship management and interpersonal skills
• Exceptional attention to detail, accuracy, and follow‑through
• Ability to manage competing priorities and work both independently and collaboratively
• Strong organizational and problem‑solving skills

What We're Looking For:

The ideal candidate is an experienced, detail‑oriented financial services professional who enjoys working at the intersection of client service, investment operations, and financial planning support.

This person takes ownership of responsibilities, anticipates what needs to happen next, and ensures that client requests and operational activities are completed accurately and efficiently. They will be comfortable managing multiple priorities, supporting advisors with complex account and planning needs, and maintaining a consistently high standard of client service. Just as importantly, this individual is collaborative, dependable, and committed to contributing to the continued success of the firm.

• Base salary starting at $95K+, commensurate with experience
• Quarterly bonus potential based on production and non‑production performance goals
• Bonus eligibility begins after 90 days of employment, subject to good standing at the time of payout
• Employer‑paid medical coverage at 90% for the employee
• Employer‑paid dental and vision coverage at 100% for the employee
• 401(k) retirement plan with up to 3% employer match