Investment Operations Associate

Company Overview:
We are a growing, fee-only Registered Investment Advisor (RIA) providing fiduciary advice, personalized financial planning, and independent investment management. In addition to our core fee-only model, we offer solutions that allow us to support commission-based investment accounts and insurance needs when appropriate. We are collaborative, client-focused, and culture-drivenwith a national presence and frequent inter-office collaboration.

Position Summary:
The Investment Operations Associate is responsible for ensuring the smooth execution of day-to-day operations for our advisory team and clients. This includes client service support, account administration, and operational execution on platforms such as Fidelity and Schwab . This role is critical to delivering a white-glove experience to our clients and enabling our advisors to focus on relationships and planning.

Essential Duties & Responsibilities:

Client Service Responsibilities

• Record client conversations, meeting notes, and action items in Salesforce CRM
• Support and process client distribution requests
• Maintain up-to-date client records and documentation
• Schedule client review meetings and follow-ups
• Coordinate onboarding and welcome experience for new clients

Investment Operations Responsibilities

• Open and maintain investment accounts using Fidelity and Schwab platforms
• Process contributions, distributions, rollovers, and transfers
• Set up ACH links, bank instructions, and recurring contributions (e.g., PIPs)
• Initiate and track trades based on advisor instructions
• Manage annual Required Minimum Distributions (RMDs)
• Assist with Maryland 529 applications
• Submit and follow up on Securities-Based Line of Credit (SBLOC) requests
• Track and report investment activity, asset flows, and key deadlines
• Work with AdvicePay for financial planning billing

Office Administration Responsibilities

• Answer phone calls and greet clients/visitors in the office
• Maintain a professional, clean, and client-ready office environment
• Schedule appointments, scan/fax/file important documents
• Sort and distribute incoming mail; monitor and submit vendor invoices
• Support state licensing compliance for investment professionals
• Maintain lobby and kitchen supplies; order office equipment and materials as needed

Equal Employment Opportunity Statement
We are an equal opportunity employer and committed to a diverse and inclusive workplace. We do not discriminate on the basis of race, religion, gender, age, sexual orientation, national origin, disability, or any other legally protected status.

Requirements

• Bachelor's degree in finance, accounting, business, or a related field
• (Can substitute 1.5 years of work experience for each year of education)
• 35 years of experience in investment operations or financial services preferred
• Experience with Salesforce CRM , Fidelity , Schwab , AdvicePay , or similar systems is highly preferred
• Strong organizational and time-management skills
• Ability to communicate clearly and professionally with clients and team members
• High attention to detail and a sense of accountability for outcomes

Benefits

• Free lunch provided daily
• Fully stocked snacks and beverages
• 100% employer-paid health insurance (medical, dental, vision)
• Frequent team travel to our Los Angeles and Seattle offices for training and collaboration
• Competitive salary based on experience
• 401(k) plan with employer match
• Paid holidays and generous PTO policy
• Opportunities for advancement and continuing education

Work Environment & Physical Demands

• 8-hour workday; may occasionally require extended hours
• Indoor office environment with moderate noise level
• Must be able to lift up to 15 lbs
• Regular use of standard office equipment (laptop, printers, phones, etc.)
• Must be able to communicate in English via phone, email, and in person

Qualification

Bachelor's Degree