Sr. Investment and Operations Associate

Sr. Investment and Operations Associate

We are a mature, dynamic Wealth Management Advisory firm providing high-end investment & financial planning services seeking an energetic, detail minded, and business-oriented investment associate who thrives in a collaborative setting.

The ideal candidate has a strong background in financial planning with an emphasis in investment analysis/management.

This individual is self-motivated, possesses exceptional problem solving and analytical skills. This individual will work within the existing infrastructure in investment analysis and planning.

Responsibilities

· Service and maintain book of business

o Trading of assets in accounts to include portfolio rebalancing, distributions and tax loss harvesting

o Coordination with the NM Wealth Management Company, Private Client Services & fund companies to prepare and execute recommendations across portfolios and individual holdings

o Monitor asset/security level variance including fixed income maturity and credit ratings

o Coordination of multiple transactions from various accounts and sources to achieve specific results (Account Opening and Account maintenance)

o Understanding of various types of distribution strategies with ability to provide recommendations/options

· Execute high quality written and verbal correspondence with clients as well as within the firm

· Conduct research on recent economic and market developments related to portfolio construction and financial planning

· Look for emerging trends related to the planning process and client planning model

· Provide guidance around portfolio construction, security, and asset class changes

· Prepare client quarterly reviews, including attribution analysis and portfolio recommendations.

· Research and solve client questions and inquiries

· Assist with internal workflow system upgrades and development

Required Qualifications:

· Professional designations (minimum of one)

o Chartered Financial Analyst (CFA)

o Certified Investment Management Analyst (CIMA)

o Preferred Portfolio Management (PPM)

o Accredited Portfolio Manager Advisor (APMA)

o Certified Financial Planner (CFP)

· Bachelor’s degree

· Series 7/63, 65 or 66

  • 7+ years of Investment Analysis, Operations and Planning experience
  • 7+ years Trading, Tax Loss Harvesting
  • Committed professional career within the financial industry.
  • Demonstrated organizational skills, ability to multitask, and time management skills
  • Strong attention to detail with the ability to work with a high degree of accuracy
  • Ability to work in a fast-paced environment
  • Excellent oral and written communication skills

· California Life & Health license (preferred)

Benefits:

We believe in building a team that loves what they do and creating a work environment that supports long-term career growth. Accordingly, we provide a rewarding compensation package which includes:

· 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

Job Type: Full-time

Pay: $60,000.00 – $90,000.00 per year

Benefits:

  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Disability insurance
  • Flexible schedule
  • Health insurance
  • Paid time off
  • Professional development assistance
  • Vision insurance

Schedule:

  • 8 hour shift
  • Monday to Friday

Supplemental Pay:

  • Bonus pay

Education:

  • Bachelor’s (Required)

Experience:

  • Operations and Planning: 7 years (Required)
  • Trading, Tax Loss Harvesting: 7 years (Preferred)
  • financial services industry: 7 years (Required)

License/Certification:

  • Series 7 License (Required)
  • Series 63, 65, or 66 License (Required)
  • Life, Health, and Disability License (Preferred)
  • Certified Financial Planner (Preferred)

Work Location:

  • One location

Work Remotely:

  • No

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