Investment Operations Associate with The Harvey Financial Group

We are striving to find an organized and independent associate to join our wealth management firm. The person must be extremely task oriented, excited to work in a team environment and eager for the opportunity to grow within the organization.

Specific responsibilities may include some or all of the duties outlined below:

Processing Accounts:
 As needed the preparing and processing all paperwork needed for investment/advisory accounts;
 As needed, monitoring, processing, and following up on asset transfers and on initial and subsequent funding of advisory accounts;
 Implementing initial and subsequent asset allocation trades;
 As needed identifying need for switch letter and mailing appropriate forms to clients; discussing potential rollover opportunities from other retirement plans for variable and mutual funds;
 As needed Processing proposal amendments, monitoring alerts, and annual reviews in Envestnet;
 As needed executing buy or sell orders and rebalancing orders in Envestnet; maintaining asset allocation;
 Monitoring holdings for program eligibility and administering advisory accounts.
Client Service:
 Corresponding with clients to handle advisory-related service issues;
 Accepting redemptions/withdrawals from clients and communicating instructions to home office;
 As needed maintaining daily tickler system for account follow-ups and service requirements;
 Performing cashiering functions;
 Running performance reports in Envestnet, Morningstar, and, NMCIR, etc.
Supporting Duties:
 Filing performance reports, account forms, and other advisory paperwork;
 Preparing investment audits;
 Preparing and update summary pages, which outline all bank accounts, insurance, investment accounts, real estate and other assets the client owns (both at NM and outside assets).
 Answers incoming calls, either answers questions or re-directs to another team member.
 Ensuring NMIS and NMWMC compliance requirements are implemented and follow.

Find out more and apply through SUCCESS, Job ID: 19878.

Leave a Reply