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Client Relationship Investment Operations Specialist

Client Relationship Investment Operations Specialist 

Experienced Client Relationship Investment Operations Specialist with an in-depth knowledge of investment management and investment advisory case management. Successful candidates will have a profound understanding of investment management new business processing, and advanced case design. Must have the ability to work with clients and advisors to implement wealth management recommendations and to service existing clientele. It is preferable to have experience with our custodian, National Financial Services (NFS), our Registered Investment Advisor, Kestra Advisory Services and our Broker Dealer, Kestra Investment Services. but not required.  Insurance experience is preferred but not required.

Essential Functions

Process new business

  • Assisting clients opening new accounts and servicing existing relationships
  • Preparing and submitting applications directly to our Registered Investment Advisor and Broker Dealer, and or an investment management firm.
  • Generating client facing presentations  using eMoney and Envestnet by gathering information from High Net Worth clientele, their advisors and vendors,
  • Preparing performance reports using Albridge, Envestnet, and eMoney
  • Creating client facing spreadsheets using Excel
  • Redtail CRM entry and updates

Understanding complex investment concepts

  • Portfolio design and asset allocation strategies using our RIA, TAMP's, EFT's, Mutual Funds, etc
  • Creating Investment Management Policy Statements
  • 401(k) Conversions
  • Non-Qualified Deferred Compensation Agreements
  • Commercial and Private Premium Finance Lending

Advanced case design 

  • Creating professional presentations for use with High Net Worth individuals and their advisors
  • Obtain investment values, forms and information from investment vendors via websites, phone, and fax
  • Develop good relationships with investment wholesalers whom we rely on to provide prompt and accurate information
  • Process general changes (change of owner or beneficiary, benefit reductions, change of address, etc.)
  • Prepare annual reviews for existing clientele
  • Update and maintain client information and document all client transactions in the company database on a regular basis


  • Bachelor’s Degree
  • Series 7, Series 6, and series 65 are preferred but not required
  • Five years minimum of experience working in the investment management industry
  • Specialization in Investment Management and Advisory Accounts business processing and servicing existing clientele
  • Highly detailed oriented and proficient In Microsoft Word, Outlook, PowerPoint and Excel
  • Must be able to work both independently as well as part of a team

Interested parties should send their resume and cover letter to:

Securities and Investment Advisory Services offered through NFP Advisor Services, LLC (NFPAS), Member FINRA/SIPC. NFPAS is not affiliated with Tempewick Wealth Management LLC. This material is for informational purposes only and is not meant as Tax or Legal advice. Please consult with your tax or legal advisor regarding personal situation.