Investment Operations Specialist

Summary/Objective 

Reporting to the Investment Operations Manager, the Investment Operations Specialist is responsible for onsite support related to coordinating, implementing and maintaining all investment account openings, and service requests, while maintaining confidentiality of client information. 

Essential Functions 

1. Process all new account paperwork for CWA recommended investment programs 

1. Manage opening accounts 

1. Process all service requests for existing accounts on CWA recommended investment programs 

1. Ongoing maintenance of accounts 

1. Manage closing accounts 

1. Serve as a point of contact between CWA and custodians and third-party providers 

1. Interact with planning teams and clients, when in the office, to handle same-day requests 

Responsibilities and Duties 

1. Prepare all investment related account paperwork 

1. Process paperwork, including account opening, transfer of assets, and account changes 

1. Process and track account withdrawals, deposits, and account maintenance requests 

1. Specialization in non-standard investments 

1. Handling of complex account related requests 

1. Track and monitor account requests in process 

1. Troubleshoot account issues, proactively working with CWA Planning Team members, custodians, third party providers and clients 

1. Coordinate with internal record keeping systems, including billing and performance reporting 

1. Communicate with clients both in-person and through various electronic methods 

1. Process all new account paperwork for CWA clients along with service requests related to our client’s investment accounts 

1. Serve as an onsite contact between CWA, our clients, third-party providers and custodians   

1. Ad hoc duties as required  

This job description is not designed to cover or contain a comprehensive listing of essential functions or responsibilities that are required of the employee for this job. Essential functions and responsibilities and activities may change at any time with or without notice. 

Education and Experience 

• College degree in business-related field required

• At least two years’ investment experience required, with familiarity with investment concepts, portfolio strategies, asset classes and financial market securities

• Demonstrated experience supporting ultra-high-net-worth clients within a financial operations environment

• Alternative Investment experience required

• Knowledge of qualified pension plans required

• Familiarity with Donor Advised Funds strongly preferred

• At least 1 year of experience processing confidential/highly sensitive information

• Experience interacting with clients through various channels, including in-person and various electronic methods

• Strong attention to detail and ability to multitask

• Adaptable to changing priorities

• Exceptional communication skills, both written and verbal

Travel

No travel is expected for this position.

Work Environment

This job operates in a clerical, office setting. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. 

Physical Demands

This is a largely sedentary role; however, some filing may be required. This would require the ability to lift files, open filing cabinets and bend or stand as necessary. 

Position Type and Expected Hours of Work

This is a full-time exempt position. Days and hours of work are Monday through Friday 8:00 a.m. to 5 p.m. Some flexibility in hours and remote work is allowed based on management’s approval; required in office presence on Mondays, Thursdays, and Fridays, or as business need dictates. 

Job Compensation & Benefits
Through our competitive compensation and benefits program, we seek to attract, retain and motivate a high-performing and increasingly diverse Associate population. Our compensation and benefit structure is comprised of many factors, including but not limited the size of our Firm, our financial position, the industry, business objectives, market salary information, benchmark pay levels and practices against the respective peer group (to ensure equal pay for equal work, with allowable pay differences based on factors not prohibited by law), and unique circumstances of the Firm that are subject to change.

Compensation

Minimum: $65,000.00 - Maximum: $80,000.00 USD

Benefits

Heavily subsidized medical insurance options

Generous employer HSA contributions

100% employer-paid Short-Term Disability, Long-Term Disability, Accident, Basic Life Insurance, and Telehealth/Virtual Urgent Care/Whole Mental Health

Dental and Vision plans

Unlimited PTO

Organization-paid holidays, including an extended Winter Break

Safe Harbor 401k Plan

Employer-paid professional dues, licenses, and renewals

Continuing Education resources

Family Planning Assistance Program and Paid Parental Leave

Subsidized fitness programs

CWA has consistently been recognized from rating services and publications such as:

INSIDE Public Accounting - Top 100 Firms (2022, 2023, 2024)

Top Workplaces - Financial Services (2024)

Top Workplaces - Culture Excellence (2024)

Accounting Today - Top Firm by AUM (2024)

USA Today - Top Workplaces (2024, 2025)

Accounting Today - Top 100 Firms (2022, 2023)

Forbes America's Best Tax & Accounting Firms (2022, 2023)

INSIDE Public Accounting - Top 100 Fastest Growing Firms (2022)

Dallas Morning News - Top Workplace (2022, 2023)

Accounting Today - Beyond Top 100: Firms to Watch (2020)

Accounting Today - Regional Leaders Top Firms (2012, 2015, 2016, 2018, 2020)

INSIDE Public Accounting - Beyond the Top 100 (2015, 2016, 2018, 2020)

INSIDE Public Accounting - Top 200 Firms (2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020)

Cain Watters & Associates is committed to upholding the principles of the Equal Pay and Opportunity Act (EPOA). If you have any concerns regarding compliance with this policy, we encourage you to report them immediately by contacting HR at [email protected]. Your concerns will be handled with the utmost confidentiality and care.