Investment Operations Associate

CFG Wealth Management, LLC; Irvine (CA); On-site; USD 65,000 - 95,000; Full time

Benefits offered by this job

Health insurance

401k

Paid Time Off

Job summary

CFG Wealth Management, LLC is seeking an Investment Operations Associate to provide comprehensive investment operational support for our advisors and team in Irvine, CA. You will help build, implement, and champion efficient operational processes while partnering with Field Supervisors to ensure compliance with firm standards.

Key duties include processing new accounts, executing trades, handling transfers, and supporting investment systems (NetX360).

Qualifications

• Series 7 Licensed.
• 2–3 years of securities industry experience.
• Finance/CS/Business degree preferred.
• Northwestern Mutual experience preferred.
• Full Benefits including health insurance, 401k, PTO.

Responsibilities

• Complete new account paperwork for processing.
• Trade investments.
• Handle account transfers and fund disbursements.
• Maintain investment systems functionality (e.g., NetX360).
• Conduct 401(k) rollover calls with clients and guide them through the rollover process.
• Prepare reports and identify process improvements to boost productivity.
• Serve as primary contact for trade corrections.

Skills

Strong organizational skills

Communication

Analytical skills

Attention to detail

Ability to work in fast-paced env

Education

Finance/CS/Business degree

Tools

NetX360

Job description

CFG Wealth Management & Insurance Solutions isa wealth management firm that brings investments, insurance planning, and overall financial planning together into one coordinated strategy for our clients.

We are seeking an Investment Operations Associate to provide comprehensive investment operational support for our advisors and team. This individual will help build, implement, and champion efficient operational processes while partnering with the Field Supervisors to ensure processes remain compliant and aligned with firm standards.

Responsibilities -

• New account paperwork completion and submission for processing
• Investments trading
• Account transfer procedures: process service requests including funds disbursements, account transfers
• Investment systems functionality (e.g., NetX360)
• Conduct 401(k) rollover calls with clients and provide clear guidance throughout the rollover process
• Reporting
• Identifies and recommends process improvements in the investment operations to enhance productivity and efficiency
• Primary contact for all trade corrections

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| Qualifications |

• Strong organizational and time management skills with ability to set priorities and meet deadlines
• Ability to build rapport and exercise resourcefulness and understanding
• Ability to operate efficiently, accurately, and to adapt to changing environment
• Someone who operates well in a fast-paced environment
• Excellent oral and written communication skills with the ability to collaborate effectively with others
• Excellent analytical and problem-solving skills
• High attention to detail

Required -

• Series 7 Licensed
• 2 -3 years of securities industry experience; finance or related experience will be considered

Preferred -

• Degree in Finance, Computer Science or Business
• Previous Northwestern Mutual experience
• Full Benefits (health insurance, 401k, Paid Time Off)