Assistant Investment Officer

New York, NY

Posted: 05/13/2022 Industry: Access Staffing Job Number: 16997967

Job Description


Assist Investment Officers in managing and servicing a highly diverse, high net-worth client base. This includes completing new account paperwork, answering client and colleague investment products/services related inquiries, resolving account-related issues, gathering financial information, recommending investment products and services to clients, and executing trades.  



  • Provide a high level of professional client service and support. Answers inquiries, resolve problems, promote, and sell products/services and enter and confirm sales and trades. Able to explain/translate complex financial concepts in a clear and organized manner. 

  • Provide suitable recommendations to clients on approved products including fixed income, mutual funds, and managed products. 

  • Provide Sales and Administrative Support to Investment Officers and client requests across a broad range of brokerage activities for retirement and non-retirement accounts including establishing new accounts, processing account transfers, securities processing, restricted stock, securities settlement, cashiering, corporate reorganizations, dividends, margin, and tax inquiries. 

  • Provide Administrative support primarily to Investment Officers and clients with the Securities Registered Investment Advisory Program.  

  • Excellent interpersonal skills and relationship building skills. Frequent interaction with bank and personnel as needed to service bank clients. 

  • Prepare and obtain financial information for new and existing clients (e.G., tax status, investment objectives, investment history) as appropriate. 

  • Maintain appropriate knowledge of other Bank products and services, particularly those of Wealth Management. Has the ability to analyze client needs, the risks and advantages/disadvantages of various client investment opportunities in light of the client' s individual financial circumstances, identify cross-sell opportunities and make appropriate referrals. 

  • Keep Investment Officers apprised of significant client issues and potential problems. 

  • Maintain a strong working knowledge of current economic and market events and their impact on various investment vehicles. 

  • Comply with and conform to all compliance and regulatory requirements of all regulatory authorities. 

  • Maintain a proactive commitment to established Bank programs, such as Customer First, Community Reinvestment Act (CRA), and Affirmative Action. 

  • Maintain proficient knowledge of all systems as required to perform job requirements. 


  • Two to five years of Customer Service or Operational experience at a Broker Dealer. 

  • Client Series 7 and 63 and 65 or 66 


Skills and Knowledge 

  • Bachelors degree in Business, Finance, or related area or equivalent experience preferred. 

  • Knowledge of SEC and Client rules and regulations. 

  • Knowledge of National Financial Systems preferred. 

  • Knowledge of Equities, Mutual Funds, Fixed Income, IRA' s, and 529 Plans preferred. 

  • Excellent verbal and written communications skills, particularly on the telephone. 


Meet Your Recruiter

Elena Vaccaro

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