Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2022.

SUMMARY:

The Senior Associate, Performance Reporting & Platform Support, plays a pivotal role in the execution and oversight of investment operations processes, acting as a bridge between the front office (portfolio management, trading) and back office (custody, accounting, reporting). This role supports trade lifecycle management, portfolio data integrity, system reconciliation, and operational risk mitigation. The ideal candidate will have an intellectual curiosity and desire to understand how investments transact and move through systems. This candidate should thrive in a fast-paced, evolving environment and demonstrate meticulous attention to detail, strong analytical skills, and a collaborative mindset.

This is a full-time, Exempt role based out of our Addison, TX or Indianapolis, IN office and requires 5 days of in-office work. 

DUTIES AND RESPONSIBILITIES:

Cash and Position Reconciliation

• Perform daily and monthly reconciliations between portfolio accounting systems and custodial records.
• Own reconciliation oversight within Tamarac, identifying and resolving position, cash, and transaction issues.
• Support post-trade and daily composite review processes, with potential support from offshore resources.

Corporate Actions & Specialized Processing

• Manage corporate action and reorganization processing, including event tracking, execution, and advisor hand-off strategy.
• Lead coordination with Chicago Clearing, including assessment and oversight of potential full-service outsourcing.

Client Reporting & Data Oversight

• Oversee Tamarac quarterly report generation as needed, ensuring consistency, accuracy, and advisor alignment.
• Maintain ownership of complex reporting logic, including model-based rebalancing processes and exceptions.
• Assist in the generation, documentation and review of composite returns, adhering to strict performance reporting standards.
• Support implantation of additional Tamarc fields (e.g., custom fields, objective history) to enhance strategy alignment and reporting logic. 
• Review and plan for appropriate treatment of accrued interest across accounts in future development phases.

Client Experience & System Design

• Collaborate with the Client Experience team on the layout, design, and logic of the client portal to ensure consistency with investment structure and user expectations.
• Maintain and validate security mapping and classification to ensure integrity across internal systems.

Risk Management & Compliance Support

• Perform best execution reviews and maintain appropriate documentation and audit trails.
• Partner with compliance to ensure proper portfolio and trade documentation is captured for composite performance reporting. 
• Support audit processes, document operational procedures, and monitor adherence to investment policy guidelines.

Client Account Maintenance & Onboarding

• Facilitate new client and account onboarding from an operational perspective, ensuring all investment instructions are properly established.
• Maintain and update investment models, asset allocations, and account restrictions in systems.

System & Process Optimization

• Work with internal stakeholders to automate manual processes, improve operational efficiency, and scale workflows.
• Participate in system integration projects (e.g., Tamarac enhancements, future investment system evaluations).

Trade Support & Lifecycle Management

• Support daily trade capture, confirmation, and settlement processes across various asset classes
• Liaise with custodians, trading platforms (e.g., Tamarac), and internal teams to ensure accurate and timely trade execution.
• Reconcile trade discrepancies and proactively resolve breaks.
• Coordinate with prime brokers to support specialized trading setups and ongoing maintenance.

QUALIFICATIONS:

Required:

• Bachelor’s degree in Finance, Economics, Accounting, or related field.
• 2–5 years of experience in investment operations or a similar middle office role.
• Strong understanding of investment products and trade lifecycle.
• Proficient in Microsoft Excel and investment systems (e.g., Tamarac, Black Diamond, Orion, Advent, or similar).
• Familiarity with custodians such as Schwab, Fidelity, Pershing, etc.

Preferred:

• Experience in an RIA, asset management, or multi-custodial environment.
• Exposure to reconciliation tools, performance reporting, and data warehousing.
• Knowledge of investment compliance and model portfolio management.

Key Attributes

• Analytical thinker with strong problem-solving skills.
• Detail-oriented with a focus on data integrity.
• Excellent verbal and written communication skills.
• Proven ability to manage multiple priorities and meet tight deadlines.
• Team-oriented and comfortable working in a cross-functional setting.

BENEFITS

We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:

• Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates
• Dental insurance with MetLife
• Vision insurance with VSP
• Optional supplemental benefits
• Healthcare savings accounts with company contribution
• Flexible spending accounts
• Flexible working arrangements
• Generous 401K contributions 
• Exempt associates qualify for our flexible paid time off policy.
• Non-Exempt associates will receive 15 days of paid time off annually during the first three years of employment
• 11 Paid Holidays
• Option to participate in our Equity Purchase Program
• Future growth opportunities within the company

In addition, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm. We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.

Benefits are available to full-time associates who work more than 30 hours a week.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. Typical reporting relationships are described, but actual relationships may vary in some instances. This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.

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