Investment Operations & Trading Associate

Stavis Wealth; Houston (TX); On-site; USD 60,000 - 80,000; Full time

Job summary

Stavis Wealth in Houston, Texas is looking for an Investment Operations & Trading Associate to support clients with daily operations and ensure accurate paperwork. The role requires managing client accounts, facilitating account transfers, and verifying daily trades.

Ideal candidates will possess a bachelor’s degree in Finance or Business Administration, have 2+ years of experience, and familiarity with CRM systems such as HubSpot and WealthBox. Knowledge of SEC regulations is a plus.

Qualifications

• Bachelor's degree in Finance, Business Administration, or related field preferred.
• 2+ years of experience in client services or operations within financial services.
• Strong attention to detail and organizational skills.
• Knowledge of SEC regulations and industry compliance standards is a plus.

Responsibilities

• Open and maintain client accounts.
• Facilitate account transfers from broker dealers and banks.
• Verify accurate execution of daily trades.
• Keep records in CRM and generate periodic reports.
• Assist with Investment Policy Statements and performance reports.
• Work with portfolio managers to facilitate trades.
• Ensure compliance with industry regulations.
• Identify issues in client accounts and develop solutions.

Skills

Client services experience

Operational Support

Trade reconciliation

Communication skills

Problem Solving

Education

Bachelor's degree in Finance or Business Administration

Series 7 certification

Tools

HubSpot

WealthBox

Advyzon

eMoney

Job description

Position Overview

Investment Operations & Trading Associate – Support clients with day‑to‑day operations, ensuring smooth processes and accurate paperwork.

Key Responsibilities

• Operational Support: Open and maintain client accounts, ensure documentation is complete and accurate; daily reconcile client holdings.
• Account Transfers: Facilitate transfers from broker dealers, custodians, agencies, and banks.
• Trading & Trade Reconciliation: Verify accurate and prompt execution of daily trades; resolve discrepancies with internal teams and custodians; manage block trading.
• Data Entry & Reporting: Keep records in CRM and portfolio management systems (e.g., HubSpot, WealthBox, Advyzon); generate periodic client account, trade, and performance reports.
• Investment Performance Reporting: Assist with Investment Policy Statements and Investment Management Agreements; produce quarterly investment reports and year‑to‑date policy performance summaries.
• Communication & Coordination: Work with portfolio managers, advisors, and custodians to facilitate trades and account updates; keep clients informed about transactions and portfolios.
• Compliance Assistance: Ensure processes comply with industry regulations and company policies; support SEC compliance documentation and audit requirements.
• Problem Solving: Identify issues in client accounts or transactions; collaborate with team members to develop effective solutions.

Qualifications

• Bachelor's degree in Finance, Business Administration, or related field preferred.
• 2+ years of experience in client services or operations within financial services.
• Series 7 preferred.
• Experience with trade reconciliation and familiarity with investment accounts.
• Trading and block trading experience.
• Proficiency in CRM and portfolio management systems (HubSpot, WealthBox, eMoney, Advyzon).
• Strong attention to detail, organizational skills, and excellent communication and interpersonal skills.
• Ability to prioritize tasks and manage time efficiently in a fast‑paced environment.
• Knowledge of SEC regulations and industry compliance standards is a plus.