Investment Operations Specialist
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