Investment Operations Associate

Company Overview:
We are a growing, fee-only Registered Investment Advisor (RIA) providing fiduciary advice, personalized financial planning, and independent investment management. In addition to our core fee-only model, we offer solutions that allow us to support commission-based investment accounts and insurance needs when appropriate. We are collaborative, client-focused, and culture-driven—with a national presence and frequent inter-office collaboration.

Position Summary:
The Investment Operations Associate is responsible for ensuring the smooth execution of day-to-day operations for our advisory team and clients. This includes client service support, account administration, and operational execution on platforms such as Fidelity and Schwab. This role is critical to delivering a white-glove experience to our clients and enabling our advisors to focus on relationships and planning.

Essential Duties & Responsibilities:

Client Service Responsibilities

• Record client conversations, meeting notes, and action items in Salesforce CRM
• Support and process client distribution requests
• Maintain up-to-date client records and documentation
• Schedule client review meetings and follow-ups
• Coordinate onboarding and welcome experience for new clients

Investment Operations Responsibilities

• Open and maintain investment accounts using Fidelity and Schwab platforms
• Process contributions, distributions, rollovers, and transfers
• Set up ACH links, bank instructions, and recurring contributions (e.g., PIPs)
• Initiate and track trades based on advisor instructions
• Manage annual Required Minimum Distributions (RMDs)
• Assist with Maryland 529 applications
• Submit and follow up on Securities-Based Line of Credit (SBLOC) requests
• Track and report investment activity, asset flows, and key deadlines
• Work with AdvicePay for financial planning billing

Office Administration Responsibilities

• Answer phone calls and greet clients/visitors in the office
• Maintain a professional, clean, and client-ready office environment
• Schedule appointments, scan/fax/file important documents
• Sort and distribute incoming mail; monitor and submit vendor invoices
• Support state licensing compliance for investment professionals
• Maintain lobby and kitchen supplies; order office equipment and materials as needed

Equal Employment Opportunity Statement
We are an equal opportunity employer and committed to a diverse and inclusive workplace. We do not discriminate on the basis of race, religion, gender, age, sexual orientation, national origin, disability, or any other legally protected status.

• Bachelor’s degree in finance, accounting, business, or a related field
• (Can substitute 1.5 years of work experience for each year of education)
• 3–5 years of experience in investment operations or financial services preferred
• Experience with Salesforce CRM, Fidelity, Schwab, AdvicePay, or similar systems is highly preferred
• Strong organizational and time-management skills
• Ability to communicate clearly and professionally with clients and team members
• High attention to detail and a sense of accountability for outcomes

• Free lunch provided daily
• Fully stocked snacks and beverages
• 100% employer-paid health insurance (medical, dental, vision)
• Frequent team travel to our Los Angeles and Seattle offices for training and collaboration
• Competitive salary based on experience
• 401(k) plan with employer match
• Paid holidays and generous PTO policy
• Opportunities for advancement and continuing education

Work Environment & Physical Demands

• 8-hour workday; may occasionally require extended hours
• Indoor office environment with moderate noise level
• Must be able to lift up to 15 lbs
• Regular use of standard office equipment (laptop, printers, phones, etc.)
• Must be able to communicate in English via phone, email, and in person