Investment Operations Lead

RESPONSIBILITIES: New Account Opening & Client On-BoardingPreparing and processing all paperwork needed for investment/advisory account openingMonitoring, processing, and following up on asset transfers and funding of advisory and brokerage accountsFacilitating 401(k)/IRA rollovers from other retirement plansTrading new accounts to target allocation via initial trading and execution of any client-specific transition planning and/or DCA scheduleWeekly updates and high-touch service and support for new clients to the firm while in the onboarding processResolving any/all trade issues related to new accountsAccount Service, Portfolio Monitoring and MaintenanceFacilitating portfolio changes approved by the investment committeeManaging drift notices and compliance alerts and questionsRebalancing accounts as needed due to market movementResolving all trade-related issues for existing accountsProactively reminding clients of funding requirements and opportunities and executing as needed/ directed (IRA, 529, RMDs, sideline cash, etc) Raising cash through strategic position management to fund/ maintain cash reserves and meet advisory fee needsClient ServiceAddressing client requests with clear, friendly and highly responsive communicationExecuting cash/ money movements per client requestsHelping address client questions across topics including, but not limited to tax withholding, tax documents, fees, etcAssisting clients with account utilization needs (check writing capability, margin loan set up, requests and repayment, etc) Managing client review scheduleBuilding Expertise and Promoting the Positive Reputation of the PracticeFull understanding and execution of compliance protocolsBuilding collaborative relationships with home office colleagues and resourcesImproving systems and communicating with firm leadership to maintain efficiency, ensure reliability and adapt to changes in our industry, at the company and within the firmWorking with other team members to ensure we fulfil the promises made to clients in a way that exceeds expectations whenever possibleWorking with other team members to deliver a platinum level of client service (friendly, personal, accurate/knowledgeable and highly responsive)A SUCCESSFUL CANDIDATE WILL BE:Team player: will thrive in a fast-paced, can-do, divide and conquer, collaborative team settingSharp with demonstrated excellenceAccomplished (highly motivated/ involved, ownership oriented) Able to learn quickly and execute to an exacting standardProcedural; will thrive on consistently maintaining highly organized processes and owning/seeing an exceptional number of dynamic tasks to completion….yet flexible enough to prioritize, triage, and be creative when neededQUALIFICATIONS:Bachelor’s degree 1-3 years of experience in an investment operations role or a very quick learnerSeries 7 and 66 licenses securities trading or willing to get licensed within 6 months of hireCT Life and Health license or willingness to get licensed within 6 months of hireExceptionally strong professional communication skills (verbal and written/ email) Strong attention to detail with the ability to work with a high degree of accuracy A passion for working on an exceptional team and having fun while doing great workDemonstrated ability to maintain effective working relationships with clientsWillingness to learnAbility to embrace change and work in a fast-paced environmentFluency with traditional software programs; Experience with NetX360 and Envestnet is a plusLocation: 4 days a week in office, 1 remote daySalary: 69-80k