Investment Operations Associate

Investment Operations Associate Confidential Lombard, IL Job Details Full-time $70,000 - $85,000 a year 2 days ago Benefits Health insurance Dental insurance Tuition reimbursement Paid time off Employee assistance program Career development plan Vision insurance 401(k) matching Gym membership Professional development assistance Flexible schedule Life insurance Qualifications Microsoft Word Financial planning Customer communication Microsoft Excel Microsoft Outlook Investment management software Client database systems Series 7 Bachelor's degree Attention to detail Financial concepts CRM system proficiency Practicing in the securities industry Process management Financial acumen Series 63 Full Job Description Job Summary We are seeking a dynamic and detail-oriented Investment Operations Associate to join our growing team. In this role, you will be at the forefront of managing and supporting the operational functions that drive investment activities, ensuring accuracy, compliance, and efficiency across all processes. Your expertise will help streamline workflows and uphold regulatory standards within a fast-paced financial environment. This position offers an exciting opportunity to develop your financial acumen while contributing to the success of our investment management operations. Responsibilities Manage new business and client onboarding, including application paperwork, account setup, and follow-through Process and track transfers, rollovers, and asset movements (ACATs, cash, securities) Execute trades and account updates in compliance with firm and regulatory guidelines Support advisors in implementing investment planning recommendations Maintain accurate client records across CRM and planning systems Serve as a key contact for client service needs, including gathering documentation and resolving account issues Monitor case status and proactively follow up to ensure completion and accuracy Identify opportunities to streamline workflows and reduce operational friction Ideal Characteristics Excellent written and verbal communication skills Manages autonomy well, but also able to collaborate with a team when necessary Excellent prioritization abilities, able to handle multiple tasks simultaneously Detail-oriented with strong follow-through and accountability Committed to professional development and growth Experience working within a Northwestern Mutual or similar advisor team environment strongly valued Requirements Bachelor's degree in Accounting, Finance, Economics or related field 2-5+ years of experience in wealth management or financial advisor team support Strong understanding of financial concepts Proficiency in Microsoft Office 365 (Outlook, Word, Excel, PowerPoint) Familiarity with CRM and financial software platforms used for investment operations Join us as an Investment Operations Associate to be part of a vibrant team dedicated to excellence in financial planning services. Your expertise will help ensure our operations run smoothly while maintaining the highest standards of integrity and compliance. If you thrive in a fast-moving environment where your skills can make a real impact—this is the perfect opportunity for you!

Pay:

$70,000.00 - $85,000.00 per year

Benefits:

401(k) matching Dental insurance Employee assistance program Flexible schedule Gym membership Health insurance Life insurance Paid time off Professional development assistance Tuition reimbursement Vision insurance Application Question(s): On average, how many client cases, requests, or accounts do you manage at one time? ☐ Fewer than 5 ☐ 5-10 ☐ 10-20 ☐ 20+ Which of the following tasks do you have hands-on experience with? (List all that apply) ☐ New account onboarding / paperwork processing ☐ Asset transfers (ACATs, rollovers) ☐ Trade execution or investment transactions ☐ Client service requests (account updates, maintenance) ☐ CRM data management ☐ None of the above Do you currently hold an active Series 7 and Series 63 license? ☐ Yes ☐

No Work Location:

Hybrid remote in Lombard, IL 60148