Investment Operations Associate - Tectonic Advisors

Summary/Objective 

Reporting to the Investment Operations Manager and Managing Director, the Investment Operations Associate is responsible for supporting the multiple processes of operating and managing investment portfolios. 

Essential Functions 

1. Support quarterly billing and revenue processes by performing data audits, control checks, and accurate invoice preparation.  

2. Maintain data and system integrity through ongoing quality control reviews and updates across Orion, Zoho, and related platforms.  

3. Assist with compliance and performance processes, including GIPS verification and coordination with custodians and consultants.  

4. Contribute to daily trading and portfolio operations by executing model trades, rebalances, cash requests, and resolving trade discrepancies.  

5. Provide reporting and proposal support for financial planners through timely month end/quarter end reporting and tailored client proposal preparation. 

Responsibilities and Duties 

1. Assist in the client quarterly billing process, including data quality and fee calculation audits, control checks, tiered billing processes, identification and resolution of accounts with restrictions, quarterly invoice generation, and revenue reports for management. 

2. As part of our Quality Control process, you will routinely investigate accounts, holdings, model assignments, fee schedules, cash flows, and other transactions to ensure proper alignment.  

3. Provide support for GIPS (Global Investment Performance Standards) verification process, including model assignments and changes, closing of accounts and working with various custodians and compliance consultants to ensure all data accuracy and completeness. 

4. System and Database data entry and maintenance to ensure database integrity (Orion and Zoho database and workflow systems). 

5. Manage operational and portfolio management reporting, including but not limited to, asset flow, custodian alerts, portfolio high cash, etc. 

6. Interface with the Operations team on day-to-day tasks relating to new account on-boarding, account changes and other workflow procedures. 

7. Assist in trading our managed models in client accounts, as well as executing daily rebalance and cash raise requests. 

8. Assist with monthly and quarter-end reporting to support the financial planners we serve. 

9. Prepare and develop client proposals based on the specific needs and requests of our financial planners. 

10. Assist in resolving trade discrepancies between sub-advisors, brokers, and custodians, ensuring timely and effective resolutions. 

11. Assist the trader in resolving trade corrections, including completing and submitting forms to the custodian.  

This position is critical to the efficient management, operations, implementation and tracking of client accounts managed by the portfolio management team. 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 

• Bachelor’s degree in finance or related field required.

• 4+ years investment experience required, with familiarity of investment concepts, portfolio strategies, asset classes and financial market securities required.

• Must have prior experience working on the operations team of a Registered Investment Advisor. 

• Knowledge and experience in the securities industry to support the firm’s investment management team and platform.  

• Meticulous attention to detail and excellent organizational skills. 

• Reliable and accountable; follows through on commitments start-to-finish. 

• Possesses critical thinking, analytical and problem-solving skills. 

• Has strong time-management skills; able to prioritize tasks. 

• Proficient in Microsoft Excel with strong working knowledge of the full Microsoft Office Suite. 

• Knowledge of Orion, iRebal or Schwab Advisor Services platform is preferred. 

Travel 

No travel is expected for this position. 

Work Environment 

This job operates in an office setting. The employee will routinely use standard office equipment such as computers, phones and photocopiers.    

Physical Demands 

This is a largely sedentary role; however, the employee will need to use a computer and be able to concentrate for long periods of time.   

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 may be allowed after an initial training period, based on management’s approval. 

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: $80,000.00 - Maximum: $110,000.00 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 hr@cainwatters.com. Your concerns will be handled with the utmost confidentiality and care.