Investment Specialist

Our team is seeking an ambitious individual who thrives in a fast-paced, team-focused work environment to join us as an Investment Specialist. This role serves as a primary link between internal departments, our corporate home office, and the clients we serve. Successful completion of responsibilities in this role enables the team to focus on revenue-generating activities while fostering and maintaining impactful, enduring client relationships.

Specific responsibilities may include but are not limited to:

• Provide business operations and administrative support to a team of financial advisors and support staff
• Open and track new investment accounts and prepare onboarding paperwork
• Rollovers
• Asset transfers
• ACH/SRS maintenance
• Check processing
• Process deposits, redemptions, and withdrawals
• Required Minimum Distributions (RMDs)
• Track money movement including rollovers and transfers
• Place trades, log checks and orders, and process ACH and wire transactions
• Account maintenance across advisory, brokerage, annuities, SMAs, and Private Client Services
• Monitor and optimize client portfolio expenses, including aggregated pricing
• Maintain accurate and up-to-date client documentation throughout the lifecycle
• Maintain compliant electronic client files, compliance files, and transaction logs

• Prepare or collaborate to develop integrated pre-sale packages for Financial Representatives
• Compile meeting kits for client meetings and reviews

• High sense of urgency with strong attention to detail and organizational skills
• Track activities through CRM systems
• Strong analytical and problem-solving skills for resolving complex issues
• Self-motivated with a high level of initiative and autonomy with the ability to follow through in a timely manner
• Team-oriented with a collaborative mindset

• Bachelor’s degree
• Life, Accident, Health & Long‑Term Care licensed (or able to obtain within 90 days)
• FINRA Series SIE, 6, and 63 (or able to obtain within 90 days)
• FINRA Series 7 (or able to obtain within 6 months)
• Financial services or insurance experience preferred
• Experience in administrative support or customer service
• Excellent written and verbal communication skills
• Ability to work independently with minimal supervision
• Proficiency with Microsoft Office and data entry
• Strong organizational and time‑management skills
• High level of accuracy and attention to detail
• Proactive mindset and ability to anticipate needs
• Commitment to delivering exceptional client experience

• Health insurance
• Dental insurance
• Group Long‑term disability income plan
• Group Life Insurance
• 401(k) with match (after 6 months of employment)
• Paid holidays and paid personal time off
• Starting salary: $65,000 - $75,000 DOE