Dunham Associates Investment Counsel, Inc.

Investment Operations Specialist

Bring your drive and a great attitude to Dunham Trust Company, and you will have the opportunity to grow with us professionally, personally and financially. You will be part of a company that promotes from within, cares about your success, and rewards longevity.

We are in need of an Operations Specialist who will be responsible for operations functions related to asset management for Dunham Trust Company and oversee coordination of investment transfers and third party account set-up.

Essential Functions:
Process asset transfers by means of Automated Customer Account Transfers (ACATs) and non-ACATs;
Differentiate investment types, review customer documents, reconcile accuracy of receipt and delivery of assets, research inquiries, and contact contra firms;
Maintain assets in accounting system, perform third-party account set-up, and process account applications for all outside accounts;
Perform daily review of price variance reports to ensure accuracy and compliance;

Perform asset reviews of outside accounts:
Review and compare asset allocation versus investment objectives;
Collect and review performance for outside accounts;
Review and update asset allocations as directed for Dunham asset allocation program;
Review and submit proxy voting as needed;
Review and verify previous day trading activity against backup documentation;
Create and maintain policies and procedures for DTC asset management in accordance with legally required compliance standards;
Ensure all records are accurate and up-to-date.
Other Operations tasks and projects as needed.

Education Required:
College degree in a finance-related field or equivalent industry experience.

Experience Required:
Two or more years in a financial services environment with considerable understanding of investments and securities;
Experience as an assistant or client service representative in a financial advisor's office environment preferred;
Working knowledge of portfolio management software such as Advent, PortfolioFolio Center, Orion, or Morningstar Office preferred;
Familiarity with account applications and forms commonly used in financial services industry with major custodians such as Charles Schwab, TD Ameritrade, Fidelity, Pershing, and wirehouses preferred;
Experience with ACATs and non-ACAT transactions;
Interest in and knowledge of the capital markets;
Working knowledge of MS Office software with intermediate Excel skills;
Salesforce or other CRM experience.

Special Skills Required:
Strong written and oral communication skills;
Ability to maintain positive working relationships with staff, internally and externally;
Ability to analyze and understand operational systems;
Strong attention to detail;
Strong interpersonal and organizational skills;
Flexibility in working with others;
Ability to work independently and take initiative.

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Posted 3 months ago

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