Investment Advisory Professional

Canon Recruiting Group • Pennington, NJ

11d • $34 - $34 • Onsite

About The Position

The Investment Advisory (IA) Governance team provides comprehensive fiduciary oversight for the Firm’s investment advisory programs and platforms. This includes maintaining a robust risk control framework aligned with firm policies, regulatory expectations, emerging risks, and evolving market dynamics that influence business strategy and advisory practices. This role supports the advisory programs within the Platform Governance organization. Key responsibilities include reviewing and responding to program policy and procedure inquiries, as well as evaluating investment and maintenance related requests for client accounts in accordance with established guidelines. The position partners closely with internal colleagues across the Investment Solutions Group (ISG), field leadership, and financial advisors to deliver platform oversight and monitoring functions for the Firm’s advisory products. The associate will analyze accommodation requests to ensure alignment with policy and regulatory standards, oversee adherence to business policies, and support the implementation of an effective governance structure for investment advisory programs. The Business Governance Specialist is expected to proactively manage issues and inquiries, conduct research with internal business and technology partners, and ensure timely and accurate resolution. As a primary point of contact for advisors, field offices, and internal management teams, the individual must be confident communicating across all levels of the organization. The role requires a strategic mindset, the ability to identify process, procedural, and technical enhancement opportunities, and participation in project leadership and execution.

Requirements

• Knowledge of managed products and/or the investment advisory business.
• Attention to Detail: Ability to complete tasks with accuracy and process complex information reliably.
• Client Focus: Ability to identify, understand, and prioritize the needs of internal and external clients while providing solutions and resolving issues.
• Collaboration: Ability to work effectively with colleagues to achieve shared goals.
• Research Skills: Ability to gather, analyze, and interpret information to support recommendations or decisions.
• Ability to quickly learn and apply new information to business processes.
• Proficiency in the use of AI enabled tools and resources.

Nice To Haves

• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a fast paced environment.
• Proficiency in Microsoft Excel.
• AI Prompt
• Excel
• Written Communication

Responsibilities

• Provide timely responses to inquiries received through multiple channels to support operational efficiency and deliver high quality service.
• Conduct research, follow up, and resolution of routine inquiries.
• Identify potential risks in daily operational activities and escalate concerns as appropriate.
• Review and approve account documentation and advisory program enrollments via systematic and manual processes.
• Support oversight of business policy adherence and enforce governance standards across the Firm’s investment advisory programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed