Sr Investment Associate

Senior Investment Associate, Naples, FL

As a Senior Investment Associate, you will work with portfolio managers and client service team to consistently deliver a high level of proactive client service and support. You are expected to understand and support your Portfolio Managers’ daily workflows. This includes analyzing investment themes and issues to communicate effectively with clients and internal partners, tracking trade activity from execution to settlement, researching and resolving account/operational investment discrepancies, analyzing and insuring accuracy of investment performance results, proofing and coordinating presentation materials used in meetings with clients. This position is critical to the confidence that our clients have in our abilities to manage their finances and the appropriate person will understand the importance of accuracy and timeliness.

The key responsibilities of the role include:

• Monitor and take ownership of all compliance related duties and follow-up procedures, including consulting with PM’s on deficiencies and communicating with clients to eliminate exceptions.
• Monitor daily all current and outstanding capital structure offers, communicate research recommendations and other relevant information regarding outstanding offers to the PM’s, and insure that capital structure decision deadlines are met.
• Obtain written client approvals for Investment Objective forms, trade confirmations, no investment-responsibility letters and any other account-related documentation.
• Monitor PMs’ desks and distribute investment research and portfolio construction information when and where appropriate. Read, understand and abide by the National Investment Management Guidelines.
• Assist in the preparation of materials for client meetings to insure the information is accurately and logically presented. Senior Investment Associates work with multiple family relationships. Strong organizational skills are essential to understand each family’s particular circumstances.
• Participate in client meetings with the PM’s and other members of the client service team when needed. Duties range from ensuring our records are complete for compliance purposes to providing equity and fixed income research needed for discussion with clients to inform them of investment decisions and transactions in their accounts.
• Work diligently toward mitigating losses due to error, and be mindful of possible contingencies.
• Carry out complex activities with significant financial, client, and/or internal business impact.
• May enter purchase and sell orders within scope of authority.
• Perform job responsibilities under general supervision (but while working independently most of the time) and deliver a work product that does not require much revision.
• Work on special projects as assigned.
• May manage daily operational activities and supervise day-to-day work of junior level employees (but not a formal management role).

The successful candidate will benefit from having the following competencies:

• Knowledge of investment products, services, and terminology, usually obtained through on the job training or prior experience, are needed.
• Candidates should have a sound fundamental understanding of financial concepts in areas such as investments, financial markets, economics, and statistics and should have broader knowledge of other areas of financial advising.
• Candidates should have 2-3 years of investment and personal trust client servicing experience. Undergraduate degree in business, finance, economics or equivalent relevant work experience is highly preferred.
• Analytical, problem solving, and organizational skills are needed to meet deadlines and solve client or administrative problems.
• Excellent technical skills, including advanced Excel skills are required as well as Power Point.
• Candidates should also have excellent communication skills and a passion for the investment business. Preference toward candidates pursuing a CFA or advanced degree.
• High attention to detail, good time-management skills, strong verbal and written communication skills, and sound fundamental understanding of financial concepts.
• Team focused.

For further information, and to apply, please visit our website via the “Apply” button below.