Financial Investment Specialist

We are seeking a Financial Investment Specialist to enhance operational efficiency and support a growing practice with $5.2 billion in assets under management.

This role is integral to ensuring seamless day-to-day financial operations, maintaining compliance, and providing exceptional client service.

The base salary is up to $70,000 plus a bonus, but it may be negotiable based on experience.

Key Responsibilities:

Trade Execution & Cash Flow Management: Oversee trade activities, monitor transactions, and facilitate seamless money movements while ensuring accuracy and regulatory compliance.

Client Transaction Support: Provide timely and professional communication as the primary point of contact for trade requests, fund transfers, and transaction confirmations.

Investment Research & Advisory Assistance: Support financial advisors by conducting market research, analyzing trends, and providing data-driven insights to aid in investment decisions.

Portfolio Development: Assist in designing customized investment portfolios aligned with client financial objectives while incorporating risk management principles.

Market Monitoring: Track U.S. and global market indexes, economic events, and key financial trends to provide relevant insights.

Compliance & Risk Oversight: Ensure all transactions adhere to regulatory and internal risk policies, upholding fiduciary responsibilities.

Client Communication: Willing to engage in long-term client interactions over the phone, ensuring consistent and high-quality service.

General Operations & Compliance: Adhere strictly to policies, participate in compliance initiatives, and support operational excellence.

Additional Duties: Take on other responsibilities as assigned while keeping leadership informed of any significant matters.

Key Competencies:

Passion for Investments: Follows the stock market closely and aspires to earn a CFP certification.

Client Service Excellence: Proactively manage complex client interactions with professionalism and responsiveness.

Effective Communication: Speak clearly and persuasively while actively listening and addressing concerns thoughtfully.

Collaboration & Teamwork: Foster a cooperative work environment, balancing individual and team objectives.

Ethical Integrity: Uphold organizational values, maintaining trust and adherence to compliance standards.

Strategic & Organizational Skills: Demonstrate strong time management, task prioritization, and problem-solving abilities.

Adaptability & Reliability: Thrive in fast-paced environments, managing shifting priorities while maintaining consistency.

Attention to Detail: Highly organized with strong accuracy in transaction processing and financial analysis.

Preferred Skills & Qualifications:

Strong time management and ability to prioritize effectively.

Proven experience handling high-volume workloads with accuracy.

Advanced proficiency in Microsoft Excel (e.g., VLOOKUP, pivot tables, XLOOKUP, nested IF functions).

Bachelor’s degree or equivalent combination of education and experience.

SIE or Series 7 license is highly preferred.

Commitment to ongoing professional development and industry engagement.

Growth Potential:

This role offers significant compensation increases with the completion of certifications such as the CFA and CFP. The right candidate will have opportunities for advancement within a high-performing financial practice.