Investment Specialist

The Investment Specialist is a client-facing operational role responsible for executing investment-related servicing, onboarding, account maintenance, and money movement while supporting Lead Advisors through preparation and implementation of financial planning recommendations.

This position focuses primarily on investment operations and client service execution, with secondary involvement in financial planning support and advisor coordination. The Investment Specialist does not hold direct sales responsibility but plays a critical role in delivering a seamless client experience by bringing advisor recommendations to life.

• Manage the end-to-end onboarding process for new investment clients
• Complete onboarding calls with clients for investment accounts
• Prepare and submit account opening paperwork, including transaction analysis forms
• Process transfers, distributions, RMDs, and money movement requests
• Coordinate with trading desk on investment transactions
• Align distributions with client strategy and documented needs

• Serve as a primary operational contact for clients regarding advisory service needs
• Accept withdrawals/redemptions and communicate instructions to home office
• Discuss advisory fees, costs, and tax considerations with clients
• Perform cashiering functions
• Run performance reports in Envestnet, Morningstar, and NMCIR
• Maintain daily tickler systems for follow-ups and service requirements
• Correspond with clients to resolve investment and advisory service issues

• Maintain accurate client case files, statements, forms, and correspondence
• Handle case notes and advisor documentation
• Respond to home office inquiries
• Ensure NMIS and insurance compliance requirements are met
• Maintain annual review notes in Envestnet and coordinate annual review communications
• Support advisor scheduling and follow-up appointments
• Continually review processes for efficiency and improvement
• Secondary Requirements:
• Ensure execution of all tasks related to client base across service team are completed timely and consistently
• Support Lead Advisors in delivering exceptional client support by understanding recommendations from review meetings and delegating to appropriate service team members
• Become familiar with each client’s financial circumstances, needs, and objectives
• Obtain understanding of planning philosophy and assist in identifying planning solutions
• Contribute to financial planning areas including cash flow management, debt management, retirement planning, estate plan review, and insurance evaluation
• Serve as a support contact for client relationships between reviews with Lead Advisors
• Assist in creating, preparing, reviewing, and presenting financial plans
• Lead implementation of planning decisions by assigning service steps to planning, operations, and portfolio teams
• Responsible for quality control of client deliverables such as plans, analysis, and presentations
• Support management of client communications to identify changes in financial needs
• Update meeting agendas with status updates from previous meetings
• Process advisor meeting notes into actionable service items
• Participate in client meetings in a support or advisory capacity
• Assist with maintaining consistent onboarding workflows alongside operations
• Identify opportunities for process improvement

• Securities licensing:
  Series 7 and Series 63
• Insurance licensing:
  Michigan Life and Heath
• Highly proficient technical skills with the ability to analyze quantitative and qualitative information
• Detail-oriented, accurate, organized, able to set priorities autonomously
• Extremely strong communication and presentation skills with the ability to explain complex information clearly and simply

• Position is mainly at a desk; often standing or sitting for prolonged periods of time

• Pass an extensive FINRA background screening which may include, but is not
• limited to, criminal background checks (local, state, and federal), credit check,
• education verification, drug tests, skills assessments, interviews, and personality
• profile (behavioral assessment)
• Tech-savvy with experience in both proprietary and mass-market systems
• Must be at least 21 years of age or older
• Legal authorized to work in the United States

Job Type: Full-time

Pay: From $60,000+ per year, depending on experience level

• Life and Disability Insurance
• Dent al and Vision insurance
• Paid time off

Schedule: Monday to Friday on site 9am to 5:00pm

Ability to commute/relocate: Troy, MI 48084:
Reliably commute or planning to relocate before starting work (Required)