Senior 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.
- Service and maintain book of business
- Trading of assets in accounts to include portfolio rebalancing, distributions and tax loss harvesting
- Coordination with the NM Wealth Management Company, Private Client Services & fund companies to prepare and execute recommendations across portfolios and individual holdings
- Monitor asset/security level variance including fixed income maturity and credit ratings
- Coordination of multiple transactions from various accounts and sources to achieve specific results (Account Opening and Account maintenance)
- 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
- Professional designations (minimum of one)
- Chartered Financial Analyst (CFA)
- Certified Investment Management Analyst (CIMA)
- Preferred Portfolio Management (PPM)
- Accredited Portfolio Manager Advisor (APMA)
- 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)
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