Cain Watters & Associates→
Investment Operations Specialist at Cain Watters… · Frisco
Job Description
Summary/Objective
Reporting to the Investment Operations Manager, the Investment Operations Specialist is responsible for onsite support related to coordinating, implementing and maintaining all investment account openings, and service requests, while maintaining confidentiality of client information.
Essential Functions
Process all new account paperwork for CWA recommended investment programs
Manage opening accounts
Process all service requests for existing accounts on CWA recommended investment programs
Ongoing maintenance of accounts
Manage closing accounts
Serve as a point of contact between CWA and custodians and third-party providers
Interact with planning teams and clients, when in the office, to handle same-day requests
Responsibilities and Duties
Prepare all investment related account paperwork
Process paperwork, including account opening, transfer of assets, and account changes
Process and track account withdrawals, deposits, and account maintenance requests
Specialization in non-standard investments
Handling of complex account related requests
Track and monitor account requests in process
Troubleshoot account issues, proactively working with CWA Planning Team members, custodians, third party providers and clients
Coordinate with internal record keeping systems, including billing and performance reporting
Communicate with clients both in-person and through various electronic methods
Process all new account paperwork for CWA clients along with service requests related to our client’s investment accounts
Serve as an onsite contact between CWA, our clients, third-party providers and custodians
Ad hoc duties as required
This job description is not designed to cover or contain a comprehensive listing of essential functions or responsibilities that are required of the employee for this job. Essential functions and responsibilities and activities may change at any time with or without notice.