Registered Investment Operations Associate - Wealth Management The Registered Investment Operations Associate supports financial advisors and clients by providing exceptional service, executing securities trades, and assisting with investment and financial planning activities. The ideal candidate possesses strong analytical skills, attention to detail, securities industry knowledge, and the ability to manage multiple priorities. Responsibilities: • Confirm money movement requests with clients • Ensure accurate and timely trade execution to maintain client satisfaction and trust • Conduct thorough investment research to provide actionable insights for client portfolios • Analyze financial data and portfolio performance to ensure alignment with client goals • Prepare comprehensive client reports • Maintain client accounts with meticulous attention to detail, ensuring all information is up-to-date and accurate • Prepare paperwork for account opening and maintenance • Prepare investment proposals • Understand and keep the team updated on key compliance requirements Qualifications: • Bachelor's degree (required) • Securities licensure (required or willing to obtain within 6 months) • Trading experience preferred • 3-5 years of experience in a related field • Close attention to detail and excellent organizational skills - this role is great for a perfectionist • Strong communication and interpersonal skills. Every team member will have direct contact with clients • Enhanced communication skills to effectively bridge the remote work gap and maintain strong client and team relationships • High level of personal responsibility and ability to work independently in a remote setting • Miscellaneous administrative duties as appropriate/assigned Compensation: $60,000 - $70,000 yearly

• Confirm money movement requests with clients • Ensure accurate and timely trade execution to maintain client satisfaction and trust • Conduct thorough investment research to provide actionable insights for client portfolios • Analyze financial data and portfolio performance to ensure alignment with client goals • Prepare comprehensive client reports • Maintain client accounts with meticulous attention to detail, ensuring all information is up-to-date and accurate • Prepare paperwork for account opening and maintenance • Prepare investment proposals • Understand and keep the team updated on key compliance requirements