Investment Operations Specialist
Job Description
About the Firm:
Our client is a nationally respected, privately held Registered Investment Advisor (RIA) with over $35 billion in assets under management, serving high-net-worth individuals and families across multiple generations. With a strong legacy of client-first service, they offer the stability of an established institution and the entrepreneurial culture of a growing firm.
Position Overview:
As an Investment Operations Specialist, you will play a vital role in daily operations supporting traditional brokerage activity, including account onboarding, asset movement, risk oversight, and client service. This is a dynamic, high-visibility position ideal for candidates looking to advance their career in investment operations within a collaborative environment.
Key Responsibilities:
- Process asset movement transactions (Wires, ACH, Checks, Certificates)
- Review and open new client accounts; verify documentation and ensure AML compliance
- Monitor margin accounts and escalate potential house/Fed calls as needed
- Serve as a liaison between Portfolio Managers and the firm’s Clearing Broker
- Respond to internal inquiries by phone/email with professionalism and urgency
- Identify operational risks and escalate exceptions appropriately
- Contribute to the continuous improvement of processes and workflows
Qualifications:
- Bachelor’s degree required
- Active FINRA Series 7 license
- 2+ years of experience in financial services or brokerage operations
- Proficient in Microsoft Office (Excel, Word, Outlook)
- Self-starter with strong organizational skills and attention to detail
- Intellectually curious with a passion for operational excellence
Why Apply?
- Competitive Compensation: $75k-$90k (DOE) plus discretionary annual bonus, amazing benefits, and generous hybrid work environment
- Impactful Work: Your insights and ideas will directly influence operations
- Firm Stability: 60+ years of success and continued expansion
- Collaborative Culture: Flat structure, high-performance team environment
Ready to grow your career with a top-tier wealth management firm? APPLY NOW and make your next move count!