Investment Associate

AppleOne Employment Services is hiring an Investment Associate in Wilmington, DE. The role involves managing relationships with agency accounts, ensuring compliance, processing transactions, and preparing client reports. Candidates should have a FINRA Series 7, 3 years of investment management experience, and proficiency in Microsoft Office. A bachelor's degree in business or finance is preferred. This is a contractor position posted 9 days ago.
Job Description
• Work with Investment Services Managers in the managing of the overall relationship of assigned managed agency accounts.
• Represent Wealth Management in various business activities and maintains contacts with clients, administrators, trustees, co-trustees, beneficiaries, attorneys, and others regarding accounts.
• Work closely with portfolio managers, advisors, and others in providing high quality service and ensures compliance with all statutory requirements.
• Process fund transfers, wires, checks, transfers to and from accounts and ACH. Administration of IRAs.
• Prepare client portfolio review books for Advisors.
• Process of client account maintenance requests. Ad hoc requests (i.e. requests for statements, 1099's, copy of trade confirmations, etc.).
• Assist Investment Services Managers with the annual confirmation of investment objectives.
• Assist Investment Services Managers with various compliance reports such as anticipated fees, investment change verification, zero balance accounts, accounts not scheduled for events, etc.
• Prepare custom client reporting.
• Maintain all appropriate training and continuing education requirements for both internal programs and external licenses and certifications.
• Comply with the regulatory requirements as well external and internal auditors and the WMS Compliance Officer.
• Assure that trust policies and procedures coincide with division and bank objectives

Skills:
• FINRA Series 7
• 3 years of experience in an investment management or trust environment
• 2 years of experience in a financial services organization
• 2 years of experience with Microsoft Office (Word, Excel, PowerPoint, Outlook)

Skills and Knowledge
• Excellent organizational and problem-solving skills
• FINRA Series 66 preferred
• Experience with SEI’s Trust 3000 Trust Accounting System or Wealthscape preferred
• Proficient with Microsoft Office (Word, Excel, PowerPoint, Outlook)
• Excellent verbal and written communication skills
• Bachelor’s degree in business, Finance or related area preferred, or equivalent 1 to 3 years' work experience.

Education:

Bachelor’s degree in business, Finance or related area preferred, or equivalent 1 to 3 years' work experience