Investment Operations Specialist

Our Investment Operations Specialist will play a critical role supporting one of our top financial advisor teams and providing high‑quality advisory services to clients. Working closely with an NMIS Financial Advisor and the Home Office, you will help prospect, prepare, maintain, and service Signature Portfolio advisory accounts. AFAs are trusted contributors who must be licensed, qualified, and accountable — particularly because they support work that directly impacts client relationships and regulatory compliance.

Your “Day in the Life” Support

Manage case notes, client correspondence, and client case files; file performance reports, account forms, and other advisory documentation.

Maintain the financial representative’s calendar, schedule client appointments, and attend follow‑ups as needed.

Respond to home office account inquiries and coordinate with internal teams.

Maintain annual review notes in Envestnet and prepare/mail annual review letters to clients.

Monitor and stock marketing and Signature Portfolio program materials.

Track industry trends and research to support advisor recommendations.

Ensure all NMIS Compliance requirements are implemented and followed.

Proposal & Case Preparation

Prospect for potential advisory clients on behalf of the employing financial advisor.

Gather and prepare information for advisor meetings with clients and prospects.

Prepare advisory annual review materials and planning analyses.

Draft and modify investment/advisory proposals, letters of instruction, investment policy statements, needs‑based analyses, and financial plans.

Recommend fund portfolio options aligned with client objectives and program guidelines.

Processing Accounts

Prepare and process all paperwork required to open and maintain investment/advisory accounts.

Monitor funding and asset transfers to ensure the selected asset allocation is implemented.

Identify when switch letters are required and mail appropriate forms to clients.

Discuss potential rollover opportunities from other retirement plans for variable and mutual funds and coordinate next steps.

Receive and forward checks and related paperwork to Investment Operations.

Process proposal amendments and monitor Envestnet for alerts and upcoming annual reviews.

Administer advisory accounts according to program procedures and regulatory requirements.

Advisory Client Meetings

Participate in fact‑finding meetings and conduct existing advisory client reviews.

Complete risk tolerance (personal profile) questionnaires with clients.

Recommend and modify proposals and advisory accounts based on client reviews.

Support client meetings for financial or investment plan development and present materials as directed by the advisor.

Client Service

Correspond with clients to resolve advisory‑related service issues and provide technical explanations of investment plans.

Contact clients on behalf of the financial advisor to develop advisory plans and explain advisory products or performance.

Accept redemptions/withdrawals and communicate client instructions to the home office.

Discuss tax consequences, costs, and advisory fees with clients as appropriate.

Maintain a daily tickler system for follow‑ups and service requirements.

Perform cashiering functions and run performance reports in Envestnet, Morningstar, and NMCIR.

Other Responsibilities

Support onboarding and ongoing training requirements for advisory programs.

Help prepare and deliver marketing materials and presentations when needed.

Maintain strict confidentiality and professional conduct at all times.

Be willing to learn, adapt to change, and work in a fast‑paced environment.

Qualifications

Associate Financial Advisor contract required.

Series 6 (or Series 7 for certain products) and Series 63 required.

Health and Life license required or must be obtained within six months of employment.

Must hold one of the following insurance designations: CLU, ChFC, CLTC, or CFP.

One to two years of securities experience required; industry experience with investment advice preferred.

Completion of home office Signature advisory training required.

Financial services or insurance industry experience preferred.

Proficiency with Microsoft Office applications and data entry/information retrieval software.

Excellent oral and written communication skills, active listening, and the ability to explain complex ideas clearly.

Strong attention to detail and ability to deliver work with a high degree of accuracy.

Ability to manage multiple projects and assignments in a timely and organized manner.

Demonstrated ability to build and maintain effective client relationships.

Ability to work independently and collaboratively as part of a team.

Commitment to confidentiality, compliance, and professional standards.

If you are a detail‑oriented professional with the required licenses and a desire to support client‑focused advisory services, this role offers meaningful client exposure and the opportunity to grow within our advisory teams.