Investment Operations Associate

The Role:

The Financial Planning Services (FPS) Department is a shared services team that provides administrative and operational support for advisors at many different levels of their career, offering a variety of service tiers to accommodate both insurance and investment business. As an Investment Operations Associate, you will maintain a personal cohort of Financial Representatives, supporting their investment business (Brokerage, Advisory, Annuity).

• Prepare clear sales illustrations and customized planning materials and coach financial representatives on how to present them to clients
• Coordinate new account paperwork and client onboarding—collect signatures, resolve “not in good order” items, and ensure timely processing
• Monitor pending cases and partner with advisors to confirm that funds are received and invested according to their recommendations
• Maintain accurate case notes and keep client and case information up to date in our CRM system
• Complete client servicing requests including beneficiary changes, contact updates, commission‑split adjustments, and more
• Execute same‑day money‑movement orders (ACH, wires, trade orders) before cutoff times
• Continuously develop subject‑matter expertise and stay current on products and industry trends
• Promote department services to increase advisor participation and ensure a high level of client and advisor satisfaction
• Collaborate with teammates, stay flexible, and be open to trying new solutions to improve processes and outcomes

• 3+ years of experience working in administration/operations, preferably at an investment firm in a client‑facing role
• Securities Industry Essentials (SIE) license preferred (ideally obtained within 90 days of starting)
• Ability to commute to downtown Seattle to work in‑office 5 days a week during regular business hours
• Ability to pass a federal background check
• Strong attention to detail and excellent organizational and time management skills; ability to manage deadlines and a large case load
• Clear, professional verbal and written communication with advisors, clients, and internal teams
• Proficiency with Microsoft Office (Excel, Word, Outlook) and comfort learning new technologies and CRM systems
• Interest in, and understanding of, the financial services industry, specifically investment account opening and trade operations

• Base pay from $28.85 - $37.50/hr ($60,008 - $78,000/yr)
• Employer Sponsored Health, Vision, and Dental Insurance
• Employer Sponsored Disability Insurance
• Employer Sponsored Life Insurance
• Paid Maternity Leave
• 401(K) Matching
• Paid Parking in an Underground Garage
• Employer‑sponsored licensing, professional development, and education opportunities

This position is classified as Non‑Exempt under Washington law because the compensation range does not meet Washington’s 2026 exempt‑salary threshold of $1,541.70 per week / $80,168.40 per year (2.25× state minimum wage).

Washington employers must follow the higher state threshold
, even when it exceeds federal FLSA standards.

As a non‑exempt employee, the individual in this role is:

• Eligible for overtime at 1.5× their regular rate for hours worked over 40 in a workweek
• Required to track all hours worked in accordance with company time‑tracking procedures.