Investment Operations Associate Jobs in Suffield, CT

Gottfried & Somberg Wealth Management (“GSWM”) is an independent wealth advisory firm managing approximately $2.7 billion in client assets. We serve individuals, families, and business owners with comprehensive financial planning, investment management, and client service. We are seeking a motivated Associate Analyst to join our team in Glastonbury, Connecticut, and work closely with senior analysts and advisors to support our clients’ financial goals.

This is a full-time, onsite position responsible for providing wealth advisors with research, analysis, reporting and trading support. Candidates should have 1–2 years of relevant work experience in financial services, investment analysis, wealth management, or a related field.

RESPONSIBILITIES AND EXPECTATIONS

The Associate Analyst is responsible for providing outstanding financial planning and wealth management for existing and future clients. This role combines financial planning, investment analysis, portfolio management, and exceptional client service. Working as part of an Advisor Pod, you will help deliver a seamless client experience while supporting every stage of the wealth management process, from financial planning and investment research to ongoing client service and operational execution.

Financial Planning & Analysis

• Gather and organize client financial information for planning and investment analysis
• Build and maintain financial plans using MoneyGuidePro and other planning tools
• Prepare retirement income analyses, Monte Carlo simulations, cash flow projections, and planning recommendations
• Update financial plans as client circumstances change
• Prepare meeting materials, reports, and planning presentations
• Attend client meetings, document action items, and coordinate follow-up

Investment & Portfolio Management

• Conduct investment research using Morningstar, Riskalyze, and third-party resources
• Prepare portfolio analysis and performance reports
• Maintain model portfolios and assist with portfolio implementation
• Execute trades and rebalance client portfolios
• Coordinate share class conversions and investment-related operational tasks
• Research investment solutions that support client objectives

Client Service & Relationship Management

• Serve as a primary point of contact for day-to-day client requests
• Coordinate account openings, transfers, rollovers, distributions, beneficiary updates, and account maintenance
• Assist clients with custodial platforms and digital paperwork
• Deliver proactive, responsive, and professional communication throughout every client interaction
• Prepare and process paperwork while ensuring timely follow-up on outstanding items
• Support new client onboarding and coordinate a smooth transition into the firm

Workflow & Operations

• Manage workflows and service requests within the firm's CRM
• Maintain accurate client records and electronic files
• Coordinate tasks across advisors, analysts, and operations to ensure timely completion
• Monitor outstanding action items and proactively identify upcoming client needs
• Contribute to process improvements that increase efficiency and enhance the client experience

Compliance & Professional Development

• Maintain complete and accurate documentation in accordance with firm policies
• Stay current on industry developments, regulatory requirements, and firm technology
• Complete all required continuing education and licensing requirements
• Follow all SEC, FINRA, and firm compliance policies

REQUIREMENTS

• Bachelor's degree from an accredited college or university 
• 1–2 years of relevant work experience in financial services, investment analysis, wealth management, or a related field
• SIE, Series 7 and Series 63 licenses, or ability to obtain all required licenses within the first six months of hire
• Ability to work onsite five days per week in Glastonbury, Connecticut

EXPECTATIONS:

• Professional behavior according to the GSWM Employee Manual. Observe and honor GSWM core values of Integrity; Genuine Relationships; Excellence in All We Do; Continuous Self Improvement, Positivity, and Empathy.
• Establish and maintain cooperative working relationships with the team. Work collaboratively to retain existing client base as well as grow client base.
• Superb attention to detail.
• Excellent time management and multi-tasking skills to manage multiple deadlines and complete projects with precision.
• Possess a growth mindset and demonstrate initiative by being willing to take on new responsibilities, take charge of a responsibility without being asked, or make suggestions for improvements.
• Remain up to date on industry developments. Regularly review our broker/dealer’s news items and technology updates.
• Develop high-level understanding of roles and responsibilities of each office position.
• Comply with all SEC and broker/dealer regulations; satisfy continuing education requirements.

Onsite location

Glastonbury, Connecticut

Time requirements

Full time (onsite)

Compensation

$65k-$80k

Work authorization

This job requires US work authorization