Investment Relationship Officer (Fintech)

Location: In office in Los Angeles, New York, Newark, or Charlotte, United States. Candidates hired on the east coast must work west coast hours from 11:00am to 7:00pm PST.

Salary: $71,869–$114,797 per year, plus eligibility for bonus and/or commissions.

Company

A banking and financial services organization providing personal, business, investment, and wealth management services.

What you will do

• Open, fund, maintain, and service investment advisory and client-directed accounts.
• Prepare account documents, transfers, securities deliveries, cash movements, wires, IRA transactions, and regulatory correspondence.
• Review account reporting, performance reports, investment objectives, suitability records, and investment policy statements.
• Establish and administer brokerage accounts on NFS, CDARS, and 529 plan platforms.
• Handle operational and sales-related client calls covering tax documents, trade settlements, asset transfers, and account maintenance.
• Support Financial Advisors, identify cross-selling opportunities, make referrals, and maintain accurate regulatory records.

Requirements

• Two to five years of client service or operational experience at a broker-dealer or in investment management.
• FINRA Series 7 and Series 63 plus Series 65 or 66 required.
• Knowledge of SEC and FINRA rules and regulations.
• Knowledge of equities, mutual funds, fixed income, IRAs, 529 plans, asset allocation models, and investment strategies.
• Strong verbal, written, and interpersonal communication skills, particularly by telephone.
• Ability to multitask accurately in a fast-paced environment with heavy workloads and high call volumes.

Nice to have

• Bachelor’s degree in business, finance, or a related field, or equivalent experience.
• Experience with National Financial Systems and advisory account platforms such as SEI, CSS, IBS Insight, Fasttax, OPR/IAV, Reports 2000, Advent, and Infoshare.

Culture & Benefits

• Medical, dental, and vision coverage available from the first month following the start date.
• Company-matching 401(k) contribution.
• Tuition reimbursement and internal training resources.
• Vacation, sick, and volunteer time benefits.
• Health, family planning, fertility, and specialized support programs.
• Career mobility support and colleague resource groups.