Operations Associate - Trading & Client Services
Position Summary
The Trading & Client Service Associate plays a dual role in delivering exceptional client experience while ensuring accurate and timely investment execution. This position sits within the operations team and reports directly to the Operations Manager. The associate will: - Support advisors and the investment committee in trade execution, rebalancing, and portfolio monitoring. - Drive an excellent onboarding and servicing experience for clients by managing paperwork, custodial follow-ups, and CRM workflows. This individual must be detail-oriented, intellectually curious, and committed to Dodds Wealth’s core values of Excellence, Integrity, Empathy, Growth, and Collaboration. The role offers exposure to both investment operations and client service, with growth potential into more specialized or senior responsibilities over time.
Key Responsibilities
Trading & Investment Support:
- Execute trades across client accounts with accuracy and timeliness.
- Manage household-level rebalancing, cash management, and tax-efficient strategies (e.g., tax-loss harvesting).
- Monitor accounts for drift, compliance exceptions, or portfolio deviations.
- Provide trading support during market events, product updates, or model changes.
- Maintain and refine Excel-based tools to improve trading workflows and reporting.
- Document and improve trading procedures in collaboration with the investment team.
Client Service & Operations:
- Support new account onboarding by preparing, submitting, and tracking custodial paperwork.
- Handle custodial follow-ups and client communication to ensure timely account setup and maintenance.
- Manage client data, tasks, and workflows in the CRM, ensuring accuracy and completeness.
- Assist with client service requests including transfers, money movement (ACH, wires, checks, and distributions), and account updates.
- Collaborate with Client Relationship Manager and operations team to improve service delivery.
- Contribute to the development and documentation of Standard Operating Procedures (SOPs).
- Participate in cross-training across trading, reporting, and technology functions.
Qualifications
- Bachelor’s degree in Finance, Business, or related field preferred.
- Strong attention to detail, organization, and time management.
- Excellent written and verbal communication skills; ability to explain complex concepts simply.
- Proficient with Microsoft Office Suite, especially Excel and Outlook.
- Demonstrated customer service mindset and proactive problem-solving ability.
- Team player with a positive attitude and willingness to learn.