Investment Operations Coordinator-Los Angeles

Investment Operations Coordinator
Must HAVE Series 7/66

This role is part of a team of experienced professionals in the field of wealth management advisory services.  A mature and dynamic firm, that provides investment and financial planning services to high-net-worth clients. We are looking for an Investment Operations Associate who is energetic, detail-minded and business oriented. The ideal candidate will thrive in a collaborative setting.  The team values self-motivation, exceptional problem solving and analytical skills. 

 Responsibilities

• Assist in servicing and maintaining the existing book of business
  • Establish and maintain new and existing accounts including account features (bank information, standing instructions and householding) and client information
  • Execute requested transactions and implementation of strategies for clients’ accounts
  • Understand and execute the establishment of various types of financial strategies
  • Process client information changes
  • Resolve client inquiries in a timely and effective manner
  • Case preparation for all client meetings including file creation, data updates, account level synopsis, account performance and tax details
• Ensure compliance by maintain electronic client files with detailed notes of processing history
• Deliver high quality written and verbal correspondence to both clients and internal staff, showcasing excellent communication skills
• Contribute to internal workflow system upgrades and development to improve operational efficiency
• Provide exceptional administrative support to advisors and the team, fostering a collaborative and successful work environment.
• Perform any additional tasks and responsibilities deemed appropriate by advisors and directors, demonstrating a willingness to adapt and contribute to the team’s overall success

Results:  

• Successfully manage and maintain accounts with minimal errors regarding account features and transaction execution.
• Ensure all electronic client files are fully compliant with company standards and regulatory requirements
• Maintain a high standard of communication and resolve client inquiries promptly.
• Attend and participate in Wealth Management conferences, home office learning opportunities, technology additions & enhancements & portfolio reviews.

 Required Qualifications:

• Bachelor’s degree, and/or equivalent work experience with strong interest in financial markets is preferred
• FINRA Registration (Series 7, 63 or 66)

• 2+ years of Investment Operations experience

• California Life & Health license (or must obtain within 45 days of employment)

Benefits:

We strive to provide a comprehensive benefits package that reflects our commitment to you.  We believe that by investing in our team, we are investing in the success of our firm, and we are committed to providing our team members with the resources and support they need to thrive.

• A competitive base salary commensurate to experience
• 100% medical, dental, and disability insurance provided by employer
• Profit-sharing plan
• Employer-sponsored licensing, professional development, and education opportunities
• Paid vacation, sick, and holiday pay