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Investment Specialist
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Ameriprise Financial - EPIC Wealth Partners
Thousand Oaks, CA (In Person)
$80,000 Salary, Full-Time
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Job Description
Investment Specialist Ameriprise Financial - EPIC Wealth Partners Thousand Oaks, CA Job Details Full-time From $80,000 a year 9 hours ago Benefits Health insurance Dental insurance Paid time off Life insurance Retirement plan Qualifications Teamwork Series 66 Series 7 Financial services Series 65 Practicing in the securities industry Series 63 Full Job Description Position Overview We are seeking an experienced and fully licensed Investment Specialist to serve as the central resource for all investment-related functions across the firm. This role is primarily internally focused, supporting advisors by ensuring portfolios are implemented and maintained in strict alignment with the firm's centralized Investment Policy Statement (IPS) and overarching risk mitigation strategy. This position will maintain responsibility for all trading- and distribution-related transactions (client one-time requests and ongoing distributions). This individual will play a critical role in portfolio oversight, trading execution, model alignment, and investment committee support, acting as the firm's internal authority on portfolio construction and disciplined investment processes. While direct client interaction is limited, the ideal candidate must be capable of confidently and clearly communicating investment strategy and rationale when engaging with analytically oriented clients. Key ResponsibilitiesFirm-Level Portfolio Oversight & Implementation
- Ensure all advisor-managed portfolios remain aligned with the firm's centralized Investment Policy Statement (IPS).
- Maintain adherence to the firm's strategic asset allocation framework, emphasizing risk mitigation and downside management.
- Execute trades, allocation adjustments, and portfolio changes with precision.
- Monitor portfolios continuously to ensure alignment with model targets.
- Oversee disciplined rebalancing processes within acceptable allocation bands. Investment Strategy & Committee Leadership
- Prepare and deliver materials for Investment Committee meetings including portfolio positioning, market updates, and risk analysis.
- Recommend portfolio adjustments based on current market conditions while adhering to long-term strategy.
- Support refinement of firm models and strategies. Trading & Investment Operations
- Execute ALL intended trades efficiently and in compliance with regulations.
- Maintain consistency across portfolios.
- Support tax-aware strategies where applicable. Advisor Support & Collaboration
- Serve as internal investment resource for advisors.
- Ensure consistent application of IPS across portfolios.
- Collaborate with leadership, operations, and compliance. Limited Client Interaction
- Participate in client meetings as needed, primarily for analytical discussions.
- Clearly communicate investment strategies when required.
- Efficiently field and manage all client distribution requests. Required Qualifications
- Series 7 (required)
- Series 66 OR Series 63 & 65 (required)
- 3+ years experience (5+ preferred)
- Strong understanding of portfolio construction, risk management, and markets Preferred Qualifications
- Insurance license preferred
- Experience in RIA or wealth firm
- CFP, CFA or progress toward designation Core Competencies
- Process discipline
- Risk awareness
- Analytical strength
- Execution precision
- Communication skills
- Consistency mindset