Investment Operations Associate

Lead Advisor is a wealth management recruiting and consulting firm. This role is for one of our clients in Manhattan. To view other open roles, visit jobs.lead-advisor.com

Investment Operations Associate

Our client is searching for an exceptional Investment Operations Associate to join our team to help manage the firm’s $300M book of assets under management. This role is a unique opportunity for a motivated individual who thrives on precision, has strong communication skills, and is passionate about delivering superior client service. The Investment Operations Associate is highly efficient with a keen eye for accuracy and a passion for service-oriented work. Candidates will not be new to the financial services industry and must meet our qualifications. If this sounds like you, reach out and introduce yourself. While the immediate focus is on operational excellence, for the right person this role offers growth potential, with opportunities to take on greater responsibilities over time. We simplify the complexities of wealth management. Through personalized, integrated financial planning, we empower our clients to make informed decisions.

Compensation and Benefits

• Base Salary: $75,000 - $100,000, commensurate with experience

• Bonuses: Semi-Annual performance-based bonuses

• Professional Development:

o Paid licensing, certification, and professional development courses

o Support for advanced designations (e.g. CFP)

• Benefits: o 401(k) plan with employer match

o Comprehensive health, dental & vision insurance o Life & Long-term disability insurance

o Health & Wellness Benefit What You’ll Do

• Oversee the operations of a portion of the firm’s $300M book of advisory and brokerage assets under management.

• Work alongside the Investment Director to manage day-to-day operations of client accounts, including new account onboarding, trade execution, portfolio rebalancing, and tax-loss harvesting using platforms like NetX360 and Envestnet.

• Maintain strong compliance documentation and case notes related to research, trading, and client interaction.

• Implement investment strategies for incoming investments, depositing checks, submitting trades, and processing distribution requests.

• Review economic commentary and market reports, relaying key information to team members and clients as needed.

• Serve as a knowledgeable and approachable resource for clients, addressing inquiries about account details, processes, and timelines.

• Build strong client relationships through professional communication and a service-oriented mindset.

• Assist clients with account transfers, rollovers, contributions, and other operational needs.

About You

Skills and Competencies

• Exceptional attention to detail and the ability to manage complex processes with accuracy.

• Strong written and verbal communication skills, with an ability to convey information clearly and professionally to clients and team members.

• Highly client-focused, with a natural ability to build relationships and provide outstanding service.

• A growth-oriented mindset with a willingness to take on new challenges and develop advanced expertise in investment management.

• A proactive problem-solver who thrives in a collaborative, fast-paced environment and works well with minimal supervision.

Ideal Background

• Bachelor’s degree in finance, business, or a related field preferred.

• 3 years’ experience in investment operations, client service, or wealth management

• Series 7 license required.

Work Environment

This is a hybrid role, requiring in-person work at our Manhattan office multiple days a week.