The Investment Management Trading and Servicing Specialist role within Provident Wealth Management is a vital position within the Operations team and is responsible for all aspects of servicing our Client population. Provident Wealth Management (PWM) is an independent Registered Investment Advisor (RIA) servicing 300+ households and over $500M in assets under management. We are seeking a dynamic person who enjoys working in a boutique firm with a motivated team of professionals.

This in office position works as an integral part of a close-knit Investment Management team of nine (9) professionals with varying responsibilities and experience. Multiple positions available at different experience levels.

The primary responsibilities of the role include (but are not limited to):
– Ensure timely and accurate account opening, maintenance and transaction processing
– Preparation, review and processing of all client investment account applications and other Custodian forms
– Planning, executing and validating of securities trades in client accounts
– Timely and accurate processing of financial transactions in client accounts
– Client setup and maintenance in internal PWM systems (CRM, Trading system, Reporting and Custodian systems)
– Daily monitoring of the Custodian system (Charles Schwab) to ensure proper issue resolution and escalation
– Provide exceptional customer service to clients and Advisors
– Consistent and effective written and verbal communication with clients
– Support of compliance operations including quarterly and annual regulatory reporting
– Active involvement in firm-wide initiatives as assigned

Skills and Experience requirements:
– A bachelor’s degree in related discipline or equivalent work experience
– Securities Licenses Required: Series 65/66 (or willingness to receive within 90 days of start date)
– Minimum of 3 years direct experience in an RIA or similar investment related business
– Strong attention to detail and work ethic
– Ability to work in a dynamic and changing environment
– Excellent written and verbal communication skills
– Proficient with Microsoft suite of tools (Word, Excel, Powerpoint)
– Deep understanding of the Investment Management industry

Additional Skills and Experience
– Knowledge of Charles Schwab, Black Diamond and Wealth Box systems
– Experience in a multi-family office setting a plus
– Experience with Investment research tools helpful
– Experience working with CIO and CCO level team members

Interested candidates should reach out to Erik Nelson at <Erik@providentwealthmanagement.com> or 615.656.4050.