Investment & Trading Operations Associate

Claire Myers Consulting; Mequon (WI); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Competitive salary

Work-from-home flexibility

Team events and outings

Benefits package

Job summary

A premier retirement management practice is seeking an Investment & Trading Operations Associate in Mequon, Wisconsin. This role focuses on executing trades, resolving issues, and maintaining client accounts in a collaborative environment. Ideal candidates will possess relevant degrees and financial experience. The company offers competitive compensation, benefits, and a supportive team culture.

Qualifications

• 2-5 years of financial planning or investment experience.
• Ability to work independently and as part of a team.
• Current with client-specific strategies recommended by the Advisor.

Responsibilities

• Executing buy and sell orders, rebalancing, and maintaining asset allocation.
• Resolving trade-related issues and preparing investment paperwork.
• Monitoring asset movement and running performance reports.

Skills

Client-focused

Proactive initiative-taking

Team collaboration

Problem-solving

Attention to detail

Education

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

SIE, Series 7 & 66

Series 7 & 66 licenses

Tools

Envestnet

Morningstar

Ycharts

NMCIR

Job description

Investment & Trading Operations Associate

Position: Investment & Trading Operations Associate

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, and their core values are integrity, accountability, and courage.

They are seeking to add an Investment & Trading Operations Associate 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
• 2-5 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"

Seniority level

• Associate

Employment type

• Full‑time

Job function

• Management
• Investment Management