Investment Operations Associate (Full-Time)

About the role

Southern Wealth is seeking an Investment Operations Associate to support the Director of Investments.

Responsibilities

• Support trade execution, settlement monitoring, and portfolio rebalancing
• Cook up and manage investment client onboarding and required documentation
• Maintain and process account updates, transfers, contributions/distributions, and cash movements
• Handle the end-to-end trade lifecycle, from preparation and review to execution, while ensuring precision and prompt submissions
• Monitor trade confirmations, settlements, and exception resolution with custodians and counter-parties
• Review investment account paperwork for completeness and accuracy
• Manage the transition of assets and account funding for new investment client onboarding
• Contact and advise clients on investment service-related items
• Monitor and manage daily alerts
• Oversee the processing of account documentation, including openings, rebalances, beneficiary updates, and transfers
• Prepare regular operational and performance reports (daily trade reports, reconciliation summaries, monthly reports)

Requirements

• Bachelor's Degree in finance or related field preferred, but industry experience can be substituted
• At least 1-3 years' experience in financial services
• Experience executing cash movement transactions (e.g. wires, ACH, deposits, internal transfers)
• Proficient with Excel
• Proficient with trading systems or portfolio tools (preferred but not mandatory)
• Proficient with Customer Relationship Management (CRM) platforms
• Strong attention to detail, effective written and verbal communication, and a collaborative approach
• Able to pass both a background check and drug test

Qualifications

• Series 7 (Preferred, but not required)
• Series 63 and 65 or 66 (Preferred, but not required)
• Florida 2-15 License (Preferred, but not required)

Skills

• Strong analytical, organizational, and problem-solving skills
• Excellent communication and interpersonal abilities, with a client service mindset
• Able to work independently and collaboratively
• Detail-oriented
• Self-sufficient and able to work with a high degree of autonomy
• Proven ability to resolve issues independently
• Continuous improvement (lifelong learning)
• Adaptability to changing investment strategies
• High ethical standards and integrity
• Continuous interest and focus on emerging investment strategies involving alternative investments, private equity, etc.

Benefits

• Annual salary commensurate with experience (note that salary will be discussed very early in the application process)
• Bonuses based meeting individual and firm's financial goals
• Short- and long-term group disability insurance paid for by the firm
• Optional dental, vision, and Aflac (at employee's expense, but at a discounted rate)
• 401K (eligible 1st of the month after 30 calendar days); matching 100% up to 3%, 50% up to 5%
• Subsidy for medical insurance (eligible 1st of the month after 30 calendar days)
• PTO: 10 days per year, prorated based on hiring date
• Nine (9) paid major holidays, including two days for Christmas and two days for Thanksgiving
• Frequent off-site team building activities and celebrations