Job Title:

Investment Administrative Assistant Department:

Wealth Management /

Investment Advisory Reports To:

Founder / Financial Advisor The Investment Administrative Assistant provides critical administrative, operational, and client service support to investment advisors and portfolio managers. This role serves as a primary operational point of contact for clients, handling account onboarding, processing trade and transfer requests, preparing client meeting materials, and ensuring full regulatory compliance across daily office operations. Client Service & Communication Serve as the primary point of contact for clients, handling phone, email, and in-person inquiries. Assist clients with operational requests, including cashiering (wires, check deposits, ACH transfers), address changes, and online portal access. Resolve client service inquiries independently or route complex portfolio matters to the appropriate financial advisor. Account Onboarding & Maintenance Prepare, review, and process new account documentation (e.g., IRAs, taxable brokerage accounts, trust accounts, 529 plans). Coordinate account transfers (ACATS), rollover requests, and beneficiary updates with custodian platforms. Maintain accurate, up-to-date client records and interaction logs within the firm's CRM. Meeting Preparation & Reporting Assemble review packages, account performance reports, and presentation materials prior to client meetings. Pull custodian statements, tax documents, and asset allocation summaries. Schedule, confirm, and coordinate logistics for client reviews, prospect pitches, and internal team meetings. Operational & Trading Support Execute administrative trade orders (e.g., rebalancing, liquidations for withdrawals) under advisor direction. General Office & Compliance Administration Ensure strict adherence to SEC, FINRA, and firm compliance guidelines regarding client privacy and documentation. Assist with archiving, physical/electronic filing, and compliance record-keeping. Perform general administrative duties including mail routing, ordering office supplies, and managing advisor calendars.

Qualifications & Requirements Education:

Associate degree required; Bachelor's degree in Finance, Business Administration, or related field preferred.

Experience:

1-3 years of administrative experience within a wealth management firm, RIA, broker-dealer, or financial institution. Proficiency in CRM systems. Proficiency in MS Office Suite (advanced Excel, Word). Familiarity with custodian portals (e.g., Fidelity Wealthscape).

Licenses:

FINRA Series 65 license. Key Competencies High attention to detail and accuracy with financial documentation. Strong written and verbal communication skills. Exceptional organizational and multi-tasking abilities in a deadline-driven environment. Understanding of investment products, account types, and regulatory requirements. Discretion in handling sensitive financial and personal client data.

Pay:

From $70,000.00 per year

Benefits:

Dental insurance Health insurance Paid time off Retirement plan

Work Location:

In person