Description:

Our client is currently seeking an ­­­­Investment Operations Associate to join their team.  This is a full-time, permanent position.

Responsibilities Include:

• Oversee the creation of investment proposals for advisors.
• Composing the required information to guide clients through the process of opening new investment accounts.
• Work with clients and potential clients with fund investment accounts, existing brokerage accounts, and advisory investment accounts.
• Ensure client accounts are maintained in compliance with all relevant codes, laws, and regulations.
• Strict maintenance of confidentiality.

Qualifications:

• Bachelor’s degree in a related discipline required.
• Minimum of two years of experience in client service, wealth planning, investment operations, or a financial services role.

• Life, Accident, and Health Insurance License for NYS is preferred.
• FINRA Series SIE, 7, and 63 or 66 licensures are required.
• Proficiency in the Microsoft Office Suite.
• Advanced communication and interpersonal skills, both written and spoken.
• Ability to maintain confidentiality.

Hours & Benefits:

• M -F 8-5
• Hybrid
• PTO
• Health, Dental, & Vision
• 401K

For more details on this role, please contact jobs@walrathrecruiting.com or call 518-275-4816. Please reference the specific job number you are inquiring about.

The specific salary/pay rate offered to a candidate may be influenced by a variety of factors including but not limited to the candidate’s experience, education, and work location.

This is an immediate opportunity. The interview process will be comprised of a combination of virtual and in-person. If you are qualified for this position, please apply using our secure online form.