Investment Operations Specialist

🌍 Remote, USA 🎯 Full-time 🕐 Posted Recently

Job Description

Queen City Wealth is a powerhouse wealth management firm founded in Denver, Colorado. They are seeking an Investment Operations Specialist who will ensure every client interaction is seamless and personalized, enhancing the clients’ experience and driving the success of their boutique operations.

Responsibilities

Promptly respond to client inquiries and service requests for investment products via email and phone
Compile and prepare new applications for investment products including sending for e-signature, submitting for compliance review, keying account features, and submitting transfer requests while tracking to completion
Track client cashflows, RMDs, and regularly scheduled investment transactions
Execute money movements, trade mutual funds & ETFs, perform tax loss harvesting, manage account transfers, facilitate rollover calls
Proactively reach out to clients for necessary items, maintaining strong, personalized relationships through regular communication and follow-up
Keep precise client records and documentation, ensuring our systems reflect the personalized service we provide
Partner with planning team and leadership to deliver cohesive, boutique client service experience
Other duties as assigned

Skills

1-2 years minimum experience in client service or administrative roles within the financial services industry
Colorado Life and Health Insurance License
FINRA Securities Investment Essentials (SIE), Series 6, and Series 63
Proficiency in Microsoft Office Suite
In-depth knowledge of Northwestern Mutual risk and investment product offerings
Knowledge of Northwestern Mutual enterprise systems (CRM Dynamics, NetX360, ENV2)
FINRA Series 7
Detailed knowledge of retail investment products including IRAs, Roth IRAs, Individual/Joint investment accounts, 529 accounts, etc

Benefits

Medical insurance including health, dental, and vision
Group short-term and long-term disability insurance
401(k) plan with employer match
Flexible Time Off program, including your birthday off every year
Support for personal education and development - including licensing, registration, and designations.

Company Overview

At Queen City Wealth, we don’t just manage money—we break barriers. It was founded in 2020, and is headquartered in Denver, Colorado, US, with a workforce of 11-50 employees. Its website is https://queencitywealth.nm.com.

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