Investment Operations Associate

Prescient Financial Solutions; Town of Brookfield (WI); On-site; USD 60,000 - 90,000; Full time

Job summary

Prescient Financial Solutions is seeking an Investment Operations Associate in Wisconsin. This role supports account openings, transfers, and maintenance while coordinating with custodians and internal teams to ensure timely, accurate processing.

The ideal candidate is detail-oriented, organized, and capable of improving operational efficiency to enhance client service. The position requires a Bachelor’s degree (or equivalent), 2+ years in financial services, and FINRA Series 7 & 63 (or 66).

Qualifications

• Bachelor's degree preferred or equivalent industry experience.
• FINRA Series 7 and Series 63 (or Series 66).
• 2+ years of experience in financial services, investment operations, client service, or related field preferred.
• Experience with custodial platforms, CRM systems, and financial technology tools preferred.
• Strong proficiency in Microsoft Office Suite, particularly Excel and Outlook.

Responsibilities

• Process and monitor account openings, transfers, rollovers, and account maintenance requests.
• Coordinate account servicing requests, including beneficiary updates, distributions, banking changes, and other operational transactions.
• Serve as a primary liaison with custodians and internal teams to resolve operational issues and ensure timely completion of requests.
• Review documentation for accuracy, completeness, and compliance with firm and custodian requirements.
• Monitor workflow queues, service requests, and outstanding items to ensure deadlines and service standards are consistently met.
• Support portfolio implementation, trading, and rebalancing activities as directed by the investment team.
• Assist with account reconciliation, reporting, and operational quality control procedures.
• Maintain accurate client records and activity tracking within CRM and custodial systems.
• Proactively identify operational inefficiencies and recommend process improvements to enhance scalability and client service.
• Take ownership of assigned requests from initiation through completion, providing timely updates to advisors and team members as needed.

Skills

Attention to Detail

Organization & Prioritization

Problem Solving

Client Service Orientation

Communication

Accountability

Adaptability

Continuous Improvement

Education

Bachelor's degree or equivalent

Tools

CRM systems

Excel

Outlook

Job description

Reports To: Director of Investment Operations

Job Description: Investment Operations Associate

The Investment Operations Associate plays a critical role in supporting the firm's investment operations, account administration, and client service functions. This individual is responsible for ensuring the accurate and timely execution of operational processes, maintaining strong custodian and advisor relationships, and contributing to a seamless client experience. The ideal candidate is detail-oriented, highly organized, and thrives in a fast-paced environment where accuracy, accountability, and follow-through are essential.

Key Responsibilities

• Process and monitor account openings, transfers, rollovers, and account maintenance requests.
• Coordinate account servicing requests, including beneficiary updates, distributions, banking changes, and other operational transactions.
• Serve as a primary liaison with custodians and internal teams to resolve operational issues and ensure timely completion of requests.
• Review documentation for accuracy, completeness, and compliance with firm and custodian requirements.
• Monitor workflow queues, service requests, and outstanding items to ensure deadlines and service standards are consistently met.
• Support portfolio implementation, trading, and rebalancing activities as directed by the investment team.
• Assist with account reconciliation, reporting, and operational quality control procedures.
• Maintain accurate client records and activity tracking within CRM and custodial systems.
• Proactively identify operational inefficiencies and recommend process improvements to enhance scalability and client service.
• Take ownership of assigned requests from initiation through completion, providing timely updates to advisors and team members as needed.

Qualifications / Requirements

• Bachelor's degree preferred or equivalent industry experience.
• FINRA Series 7 and Series 63 (or Series 66)
• 2+ years of experience in financial services, investment operations, client service, or a related field preferred.
• Experience working with custodial platforms, CRM systems, and financial technology tools preferred.
• Strong proficiency in Microsoft Office Suite, particularly Excel and Outlook.

Key Skills & Attributes

• Attention to Detail: Produces consistently accurate work and maintains high quality standards.
• Organization & Prioritization: Effectively manages multiple tasks and deadlines.
• Problem Solving: Proactively identifies issues and follows through to resolution.
• Client Service Orientation: Delivers responsive, professional support to clients and advisors.
• Communication: Communicates clearly and effectively with internal and external stakeholders.
• Accountability: Takes ownership of responsibilities and follows through on commitments.
• Adaptability: Remains flexible and effective in a changing environment.
• Continuous Improvement: Seeks opportunities to enhance processes and operational efficiency.

Key Performance Indicators (KPIs)

• Accuracy rate of deliverables (target: 98%+).
• Timeliness of account setup, transfers, and service requests.
• Successful completion of operational workflows within established service standards.
• Quality and accuracy of CRM records and documentation.
• Client and advisor satisfaction.
• Operational efficiency improvements and process enhancement contributions.
• Compliance with firm policies, procedures, and regulatory requirements.