Investment Operations Specialist

Claire Myers Consulting; Mequon (WI); Hybrid; USD 55,000 - 75,000; Full time

Benefits offered by this job

Competitive salary

Benefits package

Work from home flexibility

Team events

Job summary

A premier retirement management practice is seeking an Investment Operations Specialist in Mequon, Wisconsin. The role involves executing investment transactions, resolving trade issues, and managing advisory accounts. Candidates should have a Bachelor's degree in finance or a related field, with strong preferences for SIE and Series 7 & 66 certifications. This firm offers a supportive culture, competitive compensation, and benefits with opportunities for professional growth.

Qualifications

• 2+ years of financial planning or investment experience required.
• Must possess a strong client-focused approach with initiative.
• Ability to work effectively in a team and contribute to goals.

Responsibilities

• Execute buy and sell orders, manage asset allocation in Envestnet.
• Resolve trade-related issues and prepare paperwork for investment accounts.
• Monitor and execute asset transfers for advisory accounts.

Skills

Client-focused approach

Initiative-taking

Team collaboration

Education

Bachelor’s Degree in business, finance, and/or related field

SIE, Series 7 & 66

Tools

Envestnet

Morningstar

Ycharts

NMCIR

Job description

Overview

Position: Investment Operations Specialist

Compensation: Base salary + bonuses + benefits

Our client is a premier retirement management practice that goes beyond just managing investments. Through comprehensive planning, they serve as guides for their clients as they begin to unwind their hard-earned retirement savings. This firm is a top-tier practice, managing over a billion in assets. The level of care and the services they provide leave their clients feeling secure and ready for the future. Their core values are integrity, accountability, and courage.

They are seeking to add an Investment Operations Specialist to their inclusive and fun working environment with room for growth and advancement. They place a high value on team culture and take pride in the special environment they have created together.

They offer a competitive salary, benefits package, work from home flexibility and amazing team events and outings.

Responsibilities

• Executing buy and sell orders, rebalancing, and maintaining asset allocation in Envestnet
• Following up and resolving all trade-related issues
• Preparing and processing all paperwork needed for investment/advisory accounts
• Executing, monitoring, and following up on asset transfers as well as initial and subsequent funding of advisory accounts
• Discussing potential rollover opportunities from other retirement plans
• Processing proposal amendments, monitoring alerts and annual reviews in Envestnet
• Monitoring holdings for program eligibility in advisory accounts
• Executing and monitoring asset movement in accounts
• Running performance reports in Envestnet, Morningstar, Ycharts, and NMCIR

Qualifications

• Bachelor’s Degree in business, finance, and/or related field
• SIE, Series 7 & 66, strongly preferred
• 2+ years of financial planning or investment experience
• Extremely client-focused, initiative-taking, “what more can I do?" approach
• Ability to work independently, as well as part of a team, and actively contribute to the group to complete tasks, meet goals or manage projects
• Current with client-specific strategies recommended by the Advisor, with the ability to reiterate the "how" and "why"