Investment Operations Associate

WEALTH MANAGEMENT ASSOCIATE

ABOUT ASCENT WEALTH PARTNERS

At Ascent Wealth Partners, we partner with leaders dedicated to the pursuit of excellence, helping them reduce the stress and distractions that come with complex financial planning. Our goal is to empower our clients to focus on what truly matters: the relational dynamics of their business and family. Recognized as a Best-in-State Wealth Management Team in Michigan, we pride ourselves on providing personalized, high-level financial strategies that align with our clients' unique needs and values. Our team is dedicated to excellence, personal growth, and collaboration to provide the outstanding service to our clients.

JOB SUMMARY

The Wealth Management Associate is responsible for the investment operations of the firm utilizing Northwestern Mutual’s independent broker-dealer platform. This role involves hands-on execution of day-to-day operations, ensuring the efficiency of investment strategies, compliance, reporting, and client service. This role requires understanding of financial markets, investment products, operations within a broker-dealer framework, and the unique needs of our financial planning firm.

ESSENTIAL ROLES & OUTCOMES

• Perform operations of the firm’s investment functions, ensuring the smooth processing of trades, portfolio rebalancing, and execution of client-directed investments platform, ensuring all systems are functioning efficiently and meet regulatory requirements.
• Manage the investment trade lifecycle, including order entry, trade settlement, trade reconciliations, and reporting.
• Ensure accurate and timely generation of client investment reports, performance reporting, and transaction confirmations.
• Maintain close and accurate records through the firm’s Client Relationship Management system.

LICENSING REQUIREMENTS

Life, Health, Annuities & Long-Term Care Insurance Licenses. SIE, Series 7 and 63.

COMPETENCIES

Integrity: Works ethically. Earns trust and maintains confidence.

Organization & Planning: plans, organizes, schedules in an efficient/productive manner

Follow Through: lives up to verbal and written agreements regardless of personal cost

Intelligence: Learns quickly, demonstrates ability to quickly and proficiently understand and absorb new information

Collaborative: comfortable working with others to achieve a common goal

Flexibility: adjusts quickly to changing priorities and conditions

Work Ethic: strong willingness to work hard and sometimes long hours to get job done right.

High Standards: expects personal and team performance to be nothing short of the best

Openness to ideas/criticism: solicits feedback and reacts calmly to constructive feedback

Proactivity: acts without being told what to do. Brings new ideas to the company.

Attention to Detail: does not let important details slip through the cracks.

Analytical Skill: able to structure and process data and draw insightful conclusions.

GROWTH PATH

Success in this role opens the door to exciting opportunities for growth, including stepping into high-level operations role or more hands-on client relationship opportunities.

AWP HIRING EXPECTATIONS

• Full-Time Employment
• This is an in-office opportunity
• Industry Experience a must. 2+ years ideal.
• Base Salary: $60-75k commensurate with experience
• Discretionary Bonus
• Benefits: Medical/Dental/Vision; 401(k); Group Life/Disability; PTO; Paid Parental Leave