Investment Operations & Trading Associate
Job in
Houston, Harris County, Texas, 77246, USA
Listed on 2026-07-08
Listing for:
Stavis Wealth
Full Time
position Listed on 2026-07-08
Job specializations:
-
Finance & Banking
Financial Compliance, Financial Reporting, Banking Operations, Financial Analyst
Job Description & How to Apply Below
Position Overview
Investment Operations & Trading Associate – Support clients with day‑to‑day operations, ensuring smooth processes and accurate paperwork.
Key Responsibilities- Operational Support: Open and maintain client accounts, ensure documentation is complete and accurate; daily reconcile client holdings.
- Account Transfers: Facilitate transfers from broker dealers, custodians, agencies, and banks.
- Trading & Trade Reconciliation: Verify accurate and prompt execution of daily trades; resolve discrepancies with internal teams and custodians; manage block trading.
- Data Entry & Reporting: Keep records in CRM and portfolio management systems (e.g., Hub Spot, Wealth Box, Advyzon); generate periodic client account, trade, and performance reports.
- Investment Performance Reporting: Assist with Investment Policy Statements and Investment Management Agreements; produce quarterly investment reports and year‑to‑date policy performance summaries.
- Communication & Coordination: Work with portfolio managers, advisors, and custodians to facilitate trades and account updates; keep clients informed about transactions and portfolios.
- Compliance Assistance: Ensure processes comply with industry regulations and company policies; support SEC compliance documentation and audit requirements.
- Problem Solving: Identify issues in client accounts or transactions; collaborate with team members to develop effective solutions.
- Bachelor's degree in Finance, Business Administration, or related field preferred.
- 2+ years of experience in client services or operations within financial services.
- Series 7 preferred.
- Experience with trade reconciliation and familiarity with investment accounts.
- Trading and block trading experience.
- Proficiency in CRM and portfolio management systems (Hub Spot, Wealth Box, eMoney, Advyzon).
- Strong attention to detail, organizational skills, and excellent communication and interpersonal skills.
- Ability to prioritize tasks and manage time efficiently in a fast‑paced environment.
- Knowledge of SEC regulations and industry compliance standards is a plus.
Position Requirements
10+ Years
work experience
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