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