What are the responsibilities and job description for the Investment Operations Associate position at Ripley, Garlock & Associates Financial Planning Group?
About Us : Ripley, Garlock and Associates FPG is a leading financial services firm dedicated to delivering tailored investment solutions and superior client experiences. We specialize in financial planning, wealth management and retirement distribution and pride ourselves on fostering a collaborative and innovative culture. Ripley, Garlock and Associates FPG is partnered with Northwestern Mutual as it is a leading financial services company that provides financial planning services, life insurance, disability insurance, and long-term care insurance. Established in 1857, it is known for its mutual company structure, prioritizing policyholders over shareholders. With a strong emphasis on personalized financial strategies, the company combines expert advisors with digital tools to help clients achieve financial security and long-term growth. Ripley, Garlock and Associates FPG also partners with Northwestern Mutual’s Private Client Group (PCG). PCG represents an elite community for advisors and firms that have the experience, expertise and tools to tailor advisory strategies and deliver best-in-class outcomes for clients. Please learn more about us at www.rgafpg.com . Role Overview : We are seeking a skilled, motivated, and experienced Investment Operations Associate to join our team. The successful candidate will be responsible for managing critical aspects of client account operations, including new account opening, portfolio trading support, client service, and asset movement processing. This role requires excellent organizational skills, a client-first mindset, and the ability to thrive in a fast-paced environment. Key Responsibilities : New Account Opening :
- Facilitate the setup of new client accounts, ensuring accuracy and compliance with regulatory and company standards.
- Collect and verify required documentation, ensuring adherence to KYC / AML guidelines.
- Serve as a liaison between clients, advisors, and custodians to address inquiries and resolve issues related to account setup. Portfolio Trading Support :
- Coordinate and process portfolio trades, ensuring timely and accurate execution.
- Monitor trade settlements and address discrepancies or trade breaks promptly.
- Work closely with portfolio managers and trading desks to ensure efficient workflows. Client Service :
- Provide top-tier client support by addressing inquiries related to accounts, trades, and other operational matters.
- Collaborate with advisors and internal teams to deliver seamless client experiences.
- Troubleshoot and resolve client issues efficiently, maintaining professionalism at all times. Asset Movement :
- Process and monitor asset transfers, contributions, withdrawals, and wires with precision.
- Ensure all asset movement transactions comply with internal policies and external regulations.
- Proactively communicate with stakeholders to ensure transparency and accuracy in asset movement activities. Qualifications :
- 2 years of experience in investment operations, financial services, or a similar role.
- Strong understanding of financial products, trading processes, and account operations.
- Excellent analytical, problem-solving, and organizational skills.
- Proficiency in financial systems and tools (e.g., custodial platforms, trading systems, and CRM software).
- Exceptional communication skills, with the ability to work collaboratively across teams.
- Must be able to pass a basic background screening for the securities industry. Preferred Certification Requirements, but required post-employment :
- Securities Industry Essentials (SIE) certification required.
- Series 7 and Series 63 or 66 certifications required.
- Life, Accident, and Health Insurance certification.
- Bachelor’s Degree in Finance, Economics, Business, or a related field Why Join Us?
- Opportunity to work with a dynamic and experienced team of professionals.
- Competitive salary and performance-based bonuses.
- Comprehensive benefits package, including health insurance and retirement plans.
- Profit sharing 401(k) opportunities.
- Commitment to professional development and growth opportunities.
- Hybrid remote policy. Application Process : Interested candidates are invited to submit their resume and a cover letter detailing their qualifications and career achievements. Applications will be reviewed on a rolling basis. Ripley, Garlock and Associates FPG is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. Powered by JazzHR