Investment Operations Job Description

Investment Operations Job Description

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Investment operations provides operational support for the investment function within the Investment Office to assist with the monthly and year-end accounting close processes.

Investment Operations Duties & Responsibilities

To write an effective investment operations job description, begin by listing detailed duties, responsibilities and expectations. We have included investment operations job description templates that you can modify and use.

Sample responsibilities for this position include:

Daily position and transaction reconciliation between 1919’s Portfolio Accounting System (Advent’s APX) and custodian banks
Support, analysis and configuration of trading, portfolio accounting & analytics systems
Support & analysis for new development initiatives to drive workflow improvements within investment operations and investment teams
Daily interaction with and use of the firm's proprietary systems and databases external systems including Advent, Bloomberg and Charles River
Developing and maintaining data structures and grouping methodologies in the portfolio accounting system (APX) to provide deep reporting capabilities ad hoc report facilitation
Maintenance related to the portfolio accounting data
Manage projects in accordance with the standards/requirements of the Project Management Lifecycle and System Development Lifecycle
Lead project management activities and deliverable development/maintenance including preparation and management of project documents
Secure resources and coordinating the efforts of team members and third-party contractors or consultants
Daily communications with internal and external parties to ensure timely settlement of trading activity

Investment Operations Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Investment Operations

List any licenses or certifications required by the position: CFA, CPA, CBAP, CSC, PMP, INHAM, LPA, LOMA, FRM, CIPM

Education for Investment Operations

Typically a job would require a certain level of education.

Employers hiring for the investment operations job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Finance, Accounting, Business, Economics, Education, Business/Administration, Management, Communication, Financial Services, Associates

Skills for Investment Operations

Desired skills for investment operations include:

Financial services
Investment operations
Excel
Asset management
Computer applications used in the assigned area
Investment operations within the assigned area
Bloomberg
Accounting
Microsoft Office Suite
Finance

Desired experience for investment operations includes:

Three to five years of investment industry experience required
Some travel may be required for cross-training purposes and business continuity events
Flexibility & Organization
Excellent relationship management and communications skills are essential
Regulatory reporting for OATS, TRACE, and MSRB
Solid understanding of the securities/fund industry investment concepts and strategies

Investment Operations Examples

1

Investment Operations Job Description

Job Description Example
Our growing company is looking to fill the role of investment operations. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for investment operations
  • Support the Investment Division Portfolio teams in the oversight of Investment positions
  • Assist with writing operational policies and procedures
  • Reconcilliations - Conduct timely reconciliations across asset classes for the EMEA time zone and assist other global time zones as required
  • Daily management of business functions, processes and associated staff
  • Set team goals, manage performance, hire and train staff, coach staff and people development activities
  • Maintain relationships with external
  • Ensure policies and procedures are current and provide oversight of policies and procedures to meet compliance requirements
  • Provide subject matter expertise an execution support to business driven initiatives, internal partners, leadership or projects related to operations as necessary
  • Process corporate actions for securities held including cash and stock dividends, splits, mergers and acquisitions
  • Setup and maintenance of security master data
Qualifications for investment operations
  • Candidates must be analytical, detail-oriented and precise with numbers, with a solid understanding of the securities/fund industry investment concepts and strategies
  • M.B.A/Bachelor’s degree in business or related major or equivalent experience is required for this position
  • Knowledge of SQL and VBA code a plus but not required
  • Proven people leadership with prior experience managing a team
  • Knowledge of Vermilion Reporting Tool
  • Strong customer service values
2

Investment Operations Job Description

Job Description Example
Our company is growing rapidly and is hiring for an investment operations. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for investment operations
  • Support the creation of monthly and quarterly client reports in a timely and accurate fashion
  • Assisting Trader Support Analyst in fielding operational issues raised by the desk
  • Developing an understanding of the Fixed Income business and the systems used to support the business
  • Monitor and evaluate relevant market news by keeping abreast of significant events that may impact the valuation of the firm’s mutual fund projects and assist in coordinating the team’s efforts with the Manager
  • Review team tasks as needed on local holidays, weekends, and during Business Continuity exercises/relocations
  • Plan and set departmental goals
  • Business Continuity – provide direction and make decisions during unexpected events
  • Assisting with the production of client meeting materials, client questionnaires, and RFI/RFP responses
  • Independently owning the end to end resolution of complex intra-day inquiries from the company's clients and investment teams
  • Working with global reporting leadership to ensure baseline processes and controls are standardized across all investment product silos
Qualifications for investment operations
  • Not often but required to travel periodically
  • Identify account specific issues and troubleshoot
  • The ability to interact and partner with various internal and external stakeholders
  • 1 to 2 years Call Center/Customer Service experience preferred
  • Opportunity to work overtime as needed to support business objectives
  • A current FINRA Series 7 and 63/66 license required
3

Investment Operations Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of investment operations. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for investment operations
  • Private Equity Accounting
  • Assists with all accounting processes, including producing monthly financial statements for the portfolio, and coordinating the monthly financial close of the organization
  • Assists with monthly reconciliation of externally managed accounts in conjunction with custody bank accounting team
  • Producing quarterly and other periodic performance reporting packages to optimize reviews and communication with clients
  • Providing client teams with commentary on report trends and performance variances
  • Executing ad hoc requests leveraging APX’s functionality and capabilities
  • On-boarding new client(s) into APX by setting up profiles and accounts
  • Reviewing and monitoring daily reconciliation of client investment portfolios and securities pricing in the portfolio management system
  • Assisting in maintaining accurate data files used for reporting
  • Assisting in researching various investment topics and products
Qualifications for investment operations
  • Knowledge of Streetscape/BPM or NF systems a plus
  • Overtime will be required during periods of high work volume
  • 1 to 2 years of IRA or disbursement processing preferred
  • A minimum of four years of experience in the investment management industry or related business field
  • Experience with private placement alternative investment vehicles such as hedge funds or private equity funds is a plus
  • Current FINRA Series 7 and Series 63 or 66
4

Investment Operations Job Description

Job Description Example
Our company is looking for an investment operations. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for investment operations
  • Collaborate with global investment offices, FoF administrators and Investor(s) to manage seamless set up of FoF vehicles
  • Conduct external administrator quality control
  • Serve as liaison for all administrator and investor inquiries
  • Review, negotiate and manage service provider contracts
  • Monitor legacy funds and manage relationships of assigned PE managers
  • Conduct quarterly investment review for funds in charge
  • Collaborate with the investment team and other global offices to manage the overall process of quarterly fund monitoring
  • Conduct research and analyze industry trends on Private Equity market
  • Calculate quarterly redemption and distributable dividend amounts
  • Ensure client book is administered in line with the Trust & Company governing documents, Law and NT policies and procedures
Qualifications for investment operations
  • Overtime may be required during periods of high volume
  • 1 to 2 years of Trading or Customer Service experience preferred
  • In depth experience in asset/investment management or trading operations essential
  • Crisis management – Requires the ability to handle multiple problems and make quick decisions under pressure in order to meet deadlines for reporting mutual fund net asset values
  • Current and active FINRA Series 7 and Series 63/66
  • 1 -2 years of trading or customer service experience preferred
5

Investment Operations Job Description

Job Description Example
Our company is looking to fill the role of investment operations. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for investment operations
  • Direct the annual audit by preparing investment-related materials and excel schedules, responding to external auditors or internal requests/inquiries
  • Collaborate with the Finance Division on tax reporting requirements and provide information to external tax consultants on foreign domiciled investments, transactions, and ownership interests for the organization’s foreign filings (form 926, 5471)
  • Ensure that internal financial controls and valuation processes meet accounting standards, audit requirements, and industry best practices
  • Document departmental procedures and backup other critical investment operations functions
  • Ensure investments are completed and maintained in line with market requirements
  • Oversight of appointed service providers re delegated duties
  • Review of Financial Statements and oversight of external audit projects
  • Settlement of cash transactions
  • Authentication of electronic and/or paper based trade tickets and provision of settlement direction to external service providers within established time frames
  • Conduct a daily review and investigation of the Forecasted Income Report to ensure that Treasury has an accurate forecast of the cash flow
Qualifications for investment operations
  • Prior experience in hedge funds or fund of hedge funds is required
  • Prior experience with trust, including interpretation of legal documents
  • Attention to detail and an eagerness for quality
  • Knowledge of Fund Administration System
  • 2 - 4 years of operations and/or related experience
  • Knowledge of Omgeo Oasys and Omgeo CTM a plus

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