Investment Operations Associate

Job Description

Key Responsibilities

• Prepare and process new account paperwork for institutional and HNW clients, including annuity accounts.
• Ensure all documentation meets regulatory and internal compliance standards.
• Set up and maintain client accounts within portfolio management systems.
• Execute trades based on analyst recommendations or at the direction of advisors / clients.
• Manage routine client service requests including account access, distributions, and information delivery.
• Initiate and facilitate transfers of cash and securities.
• Receive and direct client checks to appropriate vendors or custodians.
• Calculate and process annual IRA distributions.
• Generate client proposals using financial planning software.
• Communicate professionally and regularly with clients, custodians, vendors, and internal stakeholders.
• Complete ad hoc projects and provide operational support as needed.