Investment Operations Specialist

At Legacy Capital Group, we believe anything is possible with the right financial plan. Through our customized financial planning, we equip our clients to achieve goals beyond what they can imagine. They gain peace of mind in the present, clarity of vision for the future and the promise of legacy for generations to come.

Our team is looking for an ambitious individual who thrives in a fast-paced, team-focused work environment to join us as an Investment Operations Specialist. This role serves as a primary link between our internal departments, corporate home office and the clients we serve. Successful completion of tasks and responsibilities by this individual would empower the team to focus their energy and efforts on revenue-generating activities, while fostering and developing impactful, enduring client relationships. 
 
Responsibilities include but are not limited to:  

• Provide business operations and administrative support to a team of four financial advisors and support staff.
• Open and track new investment accounts, prepare investment account paperwork for implementation, complete check deposit forms, manage client rollovers and track money transfers.  
• Review and update client specific documentation during the client onboarding process and throughout the life of the client
• Serves as the team’s knowledge advocate and go-to for internal software system enhancements, new products and compliance changes/opportunities.  

 Performance Skills: 

• High sense of urgency, attention to detail and exceptional organizational skills with the ability to follow through and execute in a timely manner 
• Demonstrated problem identification, analytical and resolution skills required to support escalated issue resolution and/or oversight requirements associated with exception-based complex processes
• Strong sense of initiative and autonomy 
• Has a team player mentality and attitude

 Qualifications: 

• Bachelor’s degree in business, finance or related field preferred.
• 5+ years of industry experience in investment operations
• SIE, Series 6 and Series 63 registrations, or equivalent

Legacy Capital Group is a marketing name for doing business as representatives of Northwestern Mutual. Legacy Capital Group is not a registered investment adviser, broker-dealer, insurance agency or federal savings bank. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries in Milwaukee, WI.