At Stella Oak, we believe it’s vitally important our firm reflects the diverse communities in which we serve. As a proud LGBTQA+ supporter and community advocate, we are actively looking for talented individuals to join our team to support our growing list of diverse and discerning clients. Send us your resume and cover letter outlining why you think you are a good candidate for this role.

GENERAL RESPONSIBILITIES

The Investment Operations Associate supports the firm’s financial advisors / wealth management advisors, specializes in the investment operational duties of the firm, monitors accounts and investment allocations, manages and maintains client systems and assists with maintaining data for compliance purposes. Specific responsibilities may include but are not limited to:

INVESTMENT OPERATIONS

• Generate client reports and manage quarterly reporting and fee process
• Manage portfolio rebalancing system
• Execute securities transactions in a timely and efficient manner consistent with the firm’s best execution policies
• Maintain data in portfolio management system
• Handle miscellaneous operational activities
• Maintain compliance policies and documentation
• Understand compliance issues, work collaboratively with firm colleagues to adhere to compliance requirements
• Enter client information into financial planning software and generate planning reports
• Assist clients in aggregating their accounts into the system
• Perform other duties as assigned

CLIENT SERVICE SUPPORT

• Handle case notes, process correspondence and maintain client case files
• File statements, account forms and other investment-related materials
• Input data, gather information, prepare materials for advisor meetings with clients/prospects
• Contact clients to set up follow-up meetings with advisors, confirm receipt of forms or request return of completed forms, etc.
• Maintain current client information in the CRM
• Communicate with corporate office, other parties and fund families as needed to supply or obtain information

QUALIFICATIONS

• Bachelor’s degree
• Experience in the financial services and/or insurance industry preferred
• Series 6 or 7 licensed, or gain licensing within 6 months of employment
• Strong computer skills including Microsoft Office Suite
• Strong customer service experience
• Ability to maintain confidentiality
• Ability to handle detailed work with high degree of accuracy
• Excellent interpersonal skills with ability to work effectively with people at all levels
• High level of organizational and time management skills, ability to multitask, set priorities and meet deadlines
• Excellent written and oral communication skills
• Ability to solve problems, take independent action and make sound decisions
• Ability to work in a fast-paced environment, be flexible and open-minded