Senior Investment Officer

Retained Executive Search
May 14, 2021
Jun 13, 2021
Employment Type
Full Time
Experience Level
5 to 9 years
CFP® Certification

POSITION:          Senior Investment Officer

LOCATION:         Eastern PA



Our client is a leading independent private trust company and shared family office which offers an integrated approach to wealth management through investment management, fiduciary services, generational wealth planning, and financial services.

The client’s highly experienced professional team of +60 professionals have backgrounds in investment management, law, accounting, trusts & estates, and mergers & acquisitions. The Team is responsible for managing >$9 billion of assets under management and has oversight for >$15 billion of assets under advisement. 


An existing role for the client, the Senior Investment Officer is a member of the Investment Department who works closely with the Wealth Advisors and Wealth Strategists to support their client management, wealth planning, and investment implementation.

  • Reports to the EVP of Business Operations;
  • Supports the Investment Department and is a primary resource for Investment Officers;
  • Ensures the proper administration of investment accounts for ultra-high net worth clients;
  • Assists the Wealth Advisory team in the preparation of financial planning and investment recommendations;
  • Ensures the flawless execution of investment decisions;
  • Drafts investment policy statements and adheres to all Investment Department policies and procedures.
  • Works with management to train and mentor Investment Officers;
  • Assists in the development and execution of procedures and department initiatives;
  • Assists with problem solving and resolution efforts;
  • Interacts with clients during in-person meetings. 



The Senior Investment Officer:

  • Assists management in the development and execution of procedures and department initiatives, and assists with problem solving and resolution efforts;
  • Acts as a resource for Investment Officers as they implement investment decisions and verifies accuracy after implementation has been completed;
  • Assists management with the development of Investment Officer training;
  • Takes a lead role in Investment Officer training and mentoring initiatives;
  • Assists with investment related procedures and assists in department development;
  • Acts as a resource for Investment Officers in the development of initial portfolio and rebalancing recommendations according to the firm’s methodology;
  • Supports Investment Officers and Wealth Advisors in financial planning and investment recommendations for clients;
  • Takes ownership of the documentation and implementation of ongoing investment plans;
  • Proactively seeks to participate in direct client communications (email, telephone and meetings);
  • Takes a leading role in improving Investment Officer capabilities in the development and execution of ongoing client strategies;
  • Initiates monthly client investment account reviews, rebalance portfolios with the approval of Wealth Advisors and the broader team focused on:
  • Managing the implementation of client strategies;
  • Determining if action is needed for client asset allocation variances;
  • Rebalancing opportunities which should incorporate cash flow and tax loss harvesting opportunities;
  • Determining next steps for outdated or missing investment policy statements;
  • Establishing ongoing communication plans.
  • Drafts and maintains client investment policy statements for client investment review meetings;
  • Assists in the monitoring and maintenance of client asset allocation targets and maintains investment policy account groupings;
  • Supports the improvement of client relationships by developing and implementing best practices for communicating regularly with clients (by telephone and in person meetings), handling client requests and questions, and being proactive;
  • Works with Investment and Family Office teams to integrate client’s investment, estate, and business plans and bill payment services;
  • Initiates client investment review meetings and reviews and approves all meeting documents and reports (some meeting participation may be required);
  • Performs annual investment reviews (Reg 9) and handles exceptions promptly;
  • Executes and reconciles mutual fund and equity trades;
  • Initiates, processes and approves wires, ACHs, check requests and internal and external transfers;
  • Works closely with the operations team to manage the investment implementation and client account reporting processes.  This may include but is not limited to trade, transfer and statement review and reconciliations;
  • Is an active participant on the investment team to continuously improve investment process.


The candidate will possess the following experiences and attributes:

  • +7 years relevant ultra high net-worth industry experience. 
  • Direct interaction with clients is required;
  • Knowledge of Advent investment software, including APX and Moxy a plus;
  • Experience with a high degree of knowledge in investment planning for ultra high net-worth individuals and families, including asset allocation, and traditional and alternative asset classes;
  • Experience and knowledge in developing investment plans for ultra high net-worth individuals with sophisticated wealth planning techniques including a wide array of trusts;
  • Experience and knowledge in developing and maintaining the relationship skills necessary to service ultra high net worth clients;
  • Experience and a high degree of expertise in the administration of investment accounts, including but not limited to account opening, trade execution, implementing account rebalancing, account transfers, account reconciliation and wire initiation;
  • Knowledge and understanding of asset allocation and the decision making behind it;
  • A high degree of knowledge of investment account types and their purpose;
  • Basic knowledge of estate planning and trust administration;
  • A high degree of knowledge of security types and how they work;
  • Able to lead a collegial team-oriented environment with a positive can-do attitude;
  • Strong client relation and interpersonal skills;
  • Ability to lead, mentor and coach;
  • Strong computer and math skills with knowledge of MS Word, Excel, and other office software;
  • Ability to self-correct and research new and better processes to improve work;
  • Self-motivated, pro-active, and able to prioritize work and meet deadlines;
  • Must be detail oriented;
  • Ability to multi-task and manage a variety of roles, responsibilities, and situations;
  • Proven problem-solving skills;
  • Balanced personality, both disciplined and inquisitive;
  • Excellent organizational skills;
  • Diligent, precise, and dependable;
  • A high level of comfort and knowledge in trade execution;
  • Strong project management skills with the ability to motivate and manage others in the process as well as shift between time critical tasks and longer-term projects;
  • High level of professional knowledge and competency and accepts personal responsibility and accountability for ensuring work is completed in a timely and error free manner;
  • Excellent analytical, problem solving and communication skills (written and verbal) with the ability to distill, organize and communicate information and ideas in a clear and concise fashion.
  • Bachelor’s degree in finance, economics, or related field;
  • CFP designation or working toward CFP designation, preferred;