Investment Operations Associate/ Director of Investment Operations

Our team of seven runs an award winning, full-service financial advisory practice specializing in risk management, retirement planning, tax-efficient savings strategies, estate planning, wealth management and wealth accumulation. We have been recognized for excellence within our industry, won numerous awards, maintained consistently best-in-class growth and performance, and have set records in our affiliation with Northwestern Mutual.

We have an opening for a key role on our team that will lead the on-boarding of new investment clients, provide direct support to our Director of Investments and provide professional support to the practice as needed.

This is a demanding and dynamic role that requires someone who enjoys a fast pace and who has an extremely high level of detail and organization. While no single responsibility of the position will be particularly challenging in itself, full coordination and execution of all the various tasks requires an intelligent, ambitious, competitive and highly capable professional with an ownership mentality and a highly structured, disciplined, and dedicated approach to their work.


  • Ensuring a platinum level experience for both new and existing clients

    • Being a step ahead of our clients in providing friendly, timely, coordinated and complete, yet succinct communications throughout the on-boarding process
    • Working proactively to streamline interactions for our clients in every way possible, from the framing of communications to minimizing outgoing requests and the need for client involvement in basic processing
    • Using highly thoughtful client outreach that is cognizant of the advisor’s preferences and how the message positions the practice
    • Ensuring client questions are answered quickly, client follow-ups are completed on time and that pertinent communications are captured or forwarded to the appropriate team member
  • Driving the application, approval, funding and delivery process for new investment prospects and clients:

    • Working with the Financial Advisor to drive completion of client paperwork
    • Submitting complete and accurate paperwork and driving approval forward
    • Building relationships with home office staff, internal compliance and external wholesalers to maintain and achieve the most desirable outcomes for our clients and practice
    • Work alongside our Insurance Services Associate to ensure all client contact is succinct and efficient
  • Managing the operations of ~$80mm in investment assets between advisory and brokerage accounts

    • Working closely with our Stamford-based back office team to process brokerage transactions
    • Trading advisory accounts within the Envestnet system as needed for cash inflows/outflows, exchanges, allocation changes, and re-balancing
    • The execution of moderately complex investment strategies such as portfolio rebalancing, tactical portfolio tilts and tax-loss harvesting.
  • Administrative practice support including, but not limited to:

    • Working with the Executive Assistant to schedule review meetings
    • Complete and accurate client file documentation

Desired Characteristics:

  • Mastery level proficiency, comfort and efficiency with Microsoft Office (especially Microsoft Excel)

  • The ability to learn quickly and execute to an exacting standard

  • Exceptionally strong professional communication skills (verbal and written)

  • Procedural work habits and the ability to stay organized and see a high number of dynamic tasks to completion

  • The drive and desire to complete a given task and ensure it gets finished correctly/thoroughly

  • Ability to work in unison with a high performing team requiring ongoing interaction with each team member

  • A self-driven, ambitious personality who is motivated by high expectations and consistent performance


  • A permanent, full-time professional position with competitive compensation, performance bonuses and benefits

  • A dynamic role with a lot to learn and room to grow

  • Affiliation with a premier, best in class national brand

  • The opportunity to learn from and grow with a financial advisor who has been named among Worth Magazine’s Leading Advisors, Fairfield County’s Top 40 under 40 and who has consistently been the top producer in the country amongst his peers, top 30 among all advisors nationally and top 10 in the Eastern third of the U.S.

  • Support for professional credentials and attainment of the leading industry designations and licensing, including the CFP®

    Interested candidates should submit resume and cover letter

Job Info.
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Westport, United States