Investment Associate II

The Investment Associate II is responsible for managing the administrative and operational components of assigned client portfolios. This role supports Portfolio Advisors by preparing client materials, maintaining accurate client records, processing transactions, and ensuring compliance with risk and regulatory requirements. The Investment Associate II works independently with limited oversight, proactively identifies issues, and ensures timely, accurate execution of client and advisor requests.

Key Responsibilities

Client Service & Portfolio Support

• Prepare client meeting materials, including presentations, reports, asset allocations, and portfolio performance reviews; ensure accuracy and resolve issues in advance of meetings.

• Serve as a primary point of contact for routine client requests, developing an understanding of client needs and coordinating with Portfolio Advisors and service partners as appropriate.

• Follow up with clients via phone or written correspondence regarding inquiries and service requests.

Portfolio Administration & Transactions

• Process client cash requests, determine funding sources, and prepare trades for Portfolio Advisor approval.

• Execute transactions at client request, including remittances, stock gifting, and other account activities.

• Process physical stock or bond certificates and complete DTC transfers.

• Initiate and process trades in accordance with established deadlines and National Investment Guidelines.

Portfolio Monitoring & Analysis

• Analyze client accounts against investment guidelines to identify discrepancies or issues.

• Rebalance portfolios with guidance from the Portfolio Advisor.

• Research tax cost issues and partner with the tax department to resolve discrepancies and confirm adjustments.

Risk, Compliance & Documentation

• Manage the Client Service team’s monthly compliance (REV) meeting process and related documentation.

• Proactively manage investment objective letters to ensure timely updates prior to expiration.

• Maintain complete, accurate, and well-organized client files, ensuring appropriate documentation, coding, and records (e.g., IPS forms, investment guidelines, fees, address updates, and special holdings).

• Support risk and compliance requirements by identifying issues early and mitigating potential losses due to error.

Systems, Reporting & Collaboration

• Demonstrate proficient use of GDWM and complete all required system training.

• Run standard and ad hoc reports for Portfolio Advisors and clients as requested.

• Collaborate closely with Client Service team members to ensure consistent communication and effective servicing of client relationships.

• Apply judgment to resolve non-routine issues, adapt processes, and improve efficiency and service quality.

Qualifications

Experience

• Minimum 1–3 years of relevant experience in investment operations, client service, or a related financial services role

Education

• College or university degree preferred, or equivalent relevant work experience

Skills & Competencies

• Working knowledge of investment products, services, and financial terminology

• Strong analytical, organizational, and communication skills

• Ability to manage multiple priorities and meet deadlines consistently

• Demonstrated proficiency with required internal systems and processes

• Strong follow-through and attention to detail

• Ability to collaborate effectively within a team environment and articulate solutions clearly

Work Environment

• This is an office-based position 5 days a week. Duties and responsibilities must be performed onsite to support effective collaboration and client service.