Senior Investment Operations Associate

Top firm within Northwestern Mutual Orange County's Private Client Group is seeking a Senior Investment Operations Associate to support the firm’s commitment to the highest standard of client experience and firm operations through the Advisory account maintenance and trading process. As a senior level role, this position is responsible for new Investment Operations Associates onboarding and ensuring the efficiency and accuracy of the Investment Operations Associates team.

Perform advanced activities and tasks of the Advisory Investment Department with accuracy and timeliness, including:

• Advisory platform trading:
• Individual and across multiple allocations
• Block trading (System generated trades)
• Periodic and one-time deposits
• Rebalancing account
• Understanding and adhering to DJM philosophy regarding tax consequences and wash sale implications on trades regarding investment/divestment
• Advisory client service requests (non-trade related)
• Home office/compliance items for attention (cash management, IFA notices, NML ISA, RMD, etc.)

Asset movement

• Wire Transfers
• Gifting
• Third party requests
• IRA contribution, ROTH conversion, understanding and applying applicable rules
• Communicate with clients on Advisory investment related matters
• Perform statement analysis as needed with existing and prospective clients
• Collaborate and implement investment account strategies that include alternative investments or loan products
• Perform brokerage account trades as needed
• Represent investment operations in team meetings
• Partner with other team members of DJM Financial and the NM Home Office
• Identify opportunities to improve the department’s operations to enhance productivity, scale for growth, and ensure a strong client experience

• 10+ years of experience in industry preferred as it relates to implementing and servicing investment advisory strategies across a large clientele
• Strong attention to detail
• Organizational and time management skills, with ability to set priorities and meet deadlines
• Analytical and problem-solving skills
• Ability to build rapport and collaborate effectively with others
• Ability to adapt to change and identify process improvements
• Strong verbal and written communication skills
• Proficient computer skills, and previous experience with investment operations systems (NetX
  360, Envestnet, Folio Dynamix, etc.)

We believe in building a team that loves what they do and creating a work environment that supports long-term career growth. Accordingly, we provide a highly rewarding compensation package which includes:

• A competitive base salary based on experience and licensing (Base: $90,000 - $120,000 depending on experience)
• An incentive (bonus) compensation plan driven by both individual and firm performance
• Access to health, vision, dental benefits as well as group life and disability insurance with costs to be shared by employer
• 100% Employer-Paid licensing, professional development, and education opportunities