Investment Associate

RoleThe Investment Associate provides advisors access to an investment partner with specialized expertise in onboarding new investment clients and acquiring additional assets for existing clients. The onboarding process encompasses the completion of all tasks related to opening, funding, and investing accounts on the Brokerage, Advisory, or Variable annuity platforms. This associate exhibits strong communication skills (both written & oral) to maintain and strengthen the client relationship. The associate promotes optimized production of advisors/teams by providing operational support and creating space to focus on new client acquisition and financial planning.ResponsibilitiesManaging WorkflowCompleting work orders (paperwork, proposals, etc.) & ensuring accuracy in preparation for client deliveryMaintaining organizational skills to adapt and prioritize workflow daily/weeklyTracking & Monitoring: Maintain clear & up-to-date records of request & case details, as well as an audit trail of operational actionOperational Execution: OnboardingPaperwork preparationWorking with clients directly to obtain missing items and/or documentsObtaining client signatures (e-sign & ink sign)Submitting accounts for approval and working with complianceFunding - Confirming & initiating all asset movements (cash deposits, transfers/rollovers, etc.)Investing Confirming & executing on initial investments/trades (Brokerage & Advisory)Correspondence:ClientsFollowing up & communicating with clients to ensure the onboarding process is as smooth and seamless as possible (reminders, confirmations, explanations)Coordinating with client's and contra firms to obtain information and/or verbal confirmation.Exhibits strong communication skills (both written & oral) to maintain and strengthen the client relationshipAdvisors/TeamsConducting regular team meetings with advisors as desired by the team.Keeping advisors/teams informed on any and all updates on each case in their queue.Providing department process & industry regulations updates as neededRequirementsBachelor's DegreeCalifornia Life & Health LicenseSIE, Series 63, 6 or 7

Created: 2025-03-03