Investment Operations Associate

Investment Operations Associate (Full-Time)

Industry: Financial Planning

Compensation : Annual salary commensurate with experience plus comprehensive benefits package including bonuses (note that salary will be discussed very early in the application process)

Location: Tallahassee, FL, on-site position

Summary of Mandatory Qualifications:

• Bachelor's Degree in finance or related field preferred, but industry experience can be substituted
• At least 1–3 years of experience in investment operations, wealth management, or financial services
• Series 7 certification + Series 63 and 65 or 66 certification
• Ability to work full-time Monday – Friday, 8:00am – 5:00 pm, in our Tallahassee, FL office
• Ability to pass both a background check and drug test

Who we are:

At Southern Wealth, we’re built on trust, not transactions. We take the time to listen and get to know our clients and what is most important to them. We spend our days developing strategies, tailored to help our clients achieve their goals and optimize their wealth, by offering comprehensive services and solutions. Our approach is rooted in Southern hospitality: we care about family, do what we say, and go the extra mile. It’s that simple, and it’s this mantra that has helped our firm grow in business over the past several years.

We are a small, boutique firm backed by the resources of the Fortune 500 ranked Northwestern Mutual. In 2025, Southern Wealth was ranked Forbes Best-In-State Wealth Management Teams and our founder, Ben Gantt, was ranked Top Financial Security Professional Best-In-State. If this sounds like the type of firm you would like to be a part of, read on...

About the opening:

Southern Wealth is seeking a detail-oriented Investment Operations Associate to support the Director of Investments and ensure the operational integrity of our investment platform. This position plays a vital role in trade execution, client onboarding, and ongoing account maintenance.The ideal candidate will have a solid understanding of investment operations and thrives working in a face-paced environment with a collaborative, client centric team. Success in this position requires a blend of outstanding interpersonal communication and robust analytical capabilities, paired with a methodical approach to problem-solving. If you are eager to develop professionally and make a meaningful impact on clients' lives, we invite you to explore this opportunity further.

Key responsibilities (but are not limited to):

• Support trade execution, settlement monitoring, and portfolio rebalancing
• Coordinate and manage investment client onboarding and required documentation
• Maintain and process account updates, transfers, contributions/distributions, and cash movements
• Support reporting, compliance documentation, and efforts to strengthen operational controls and workflows
• Prepare investment paperwork
• Handle the end-to-end trade lifecycle, from preparation and review to execution, while ensuring precision and prompt submissions
• Monitor trade confirmations, settlements, and exception resolution with custodians and counter-parties
• Review investment account paperwork for completeness and accuracy
• Manage the transition of assets and account funding for new investment client onboarding
• Contact and advise clients on investment service-related items
• Monitor and manage daily alerts
• Manage cash movements, deposits, withdrawals, and transfer requests
• Oversee the processing of account documentation, including openings, rebalances, beneficiary updates, and transfers
• Prepare regular operational and performance reports (daily trade reports, reconciliation summaries, monthly reports)

Requirements

• Bachelor's Degree in finance or related field preferred, but industry experience can be substituted
• At least 1–3 years’ experience in investment operations, wealth management, or financial services
• Experience in an RIA or trading implementation role
• Experience placing equity and fund trades
• Experience executing cash movement transactions (wires, ACH, deposits, internal transfers)
• Proficient with Excel
• Proficient with trading systems, portfolio tools, and CRM platforms
• Strong attention to detail, effective written and verbal communication, and a collaborative approach
• Experience with systems such as: CRMs, NetX360, ENV2, Y-charts in Morningstar (familiarity preferred)
• Ability to pass both a background check and drug test

License/Certification:

• Series 7 (Required)
• Series 63 and 65 or 66 (Required)
• Florida 2-15 License (Preferred) *required to obtain within 120 days

Personal Attributes:

• Strong analytical, organizational, and problem‑solving skills
• Excellent communication and interpersonal abilities, with a client service mindset
• Able to work independently and collaboratively
• Detail-oriented
• Self-sufficient and ability to work with a high degree of autonomy
• Proven ability to resolve issues independently
• Continuous improvement (lifelong learning)
• Adaptability to changing investment strategies
• High ethical standards and integrity
• Continuous interest and focus on emerging investment strategies involving alternative investments, private equity, etc

Benefits

• Annual salary commensurate with experience (note that salary will be discussed very early in the application process)
• Bonuses based meeting individual and firm's financial goals
• Short- and long-term group disability insurance paid for by the firm
• Optional dental, vision, and Aflac (at employee's expense, but at a discounted rate)
• 401K (eligible 1st of the month after 30 calendar days); matching 100% up to 3%, 50% up to 5%
• Subsidy for medical insurance (eligible 1st of the month after 30 calendar days)
• PTO: 10 days per year, prorated based on hiring date
• Nine (9) paid major holidays, including two days for Christmas and two days for Thanksgiving
• Frequent off-site team building activities and celebrations