Director of Investments

At TalentWealth Recruiting we assist independent Wealth Management firms across the country in hiring top professionals to join their practices. Our client in Lone Tree, CO is a fast-growing independent financial planning firm specializing in clients with complex situations: entrepreneurs and executives with equity.

In this role, the Director of Investments will play a pivotal part in building out investment management operations. The Director of Investments will be responsible for executing trades, monitoring investment platforms, managing account operations, and performing in-depth financial/investment analysis. The Director will also work with advanced tools such as Power BI, Ycharts, Black Diamond, Excel, and Schwab Advisor Center to streamline processes, improve investment outcomes, and enhance operational efficiency. The ideal candidate for this role will be coachable, growth-oriented, data-driven, and personable, with a strong ability to adapt and thrive in our fast-growing, forward-thinking business.

Essential Functions and Job Duties:

Trading and Money Movement:

• Execute trades across client accounts in alignment with investment strategies and model portfolios.
• Monitor investment platforms for accuracy, efficiency, and compliance.
• Manage cash needs, account rebalancing, and settlement processes.
• Ensure adherence to firm policies and regulatory requirements in all investment activities.
• Identify operational or investment-related challenges and develop data-driven solutions.

Account Management & Processes:

• Oversee and execute on account operations, including account openings, monthly billing, and investment workflows (wires, ACHs)
• Manage systems and tools related to portfolio management, investments, and reporting.
• Manage transfers and transitions of money moving into PWA.
• Support Director of Operations with needed reports from Black Diamond and Schwab Advisor Center for compliance and daily operations

Investment Analysis and Management:

• Manage the 338 investment management duties within qualified plans.
• Conduct research on securities, funds, and other assets of prospective clients.
• Prepare asset allocation, location, and performance reports.
• Develop presentations and summaries to facilitate advisor-client communication.
• Qualified Plan Management: RFPs, tracking, and plan servicing.
• Provide the Investment Committee with data-driven insights and analysis.
• Oversee and optimize PWA model portfolios.
• Collaborate with PWA advisors and the Director of Financial Planning on case design and directly with clients.

Experience, Knowledge and Skills Minimum Requirements:

• Minimum 2 years experience in investment management (operations or analyst)
• Bachelor’s Degree
• Hybrid or In Office – must live in Colorado

Preferred Skills:

• Minimum 1 year experience in a financial planning/advising firm.
• Advanced skills with Microsoft Excel formulas, logic, and formatting.
• Experience and knowledge of basic financial planning, Qualified Plans, and basic tax (e.g., tax loss harvesting)
• Experience working with PowerBi, BlackDiamond, and Schwab Advisor Center
• Series 65 certification or acquire within 6 months of employment.
• Obtained or willing to work towards obtaining CFA or CFP