Investment Operations Specialist
Listed on 2026-03-08
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Finance & Banking
Financial Consultant, Risk Manager/Analyst
Investment Operations Specialist - Series 7 license required
$75k-$90k + discretionary bonus
New York, NY (Hybrid)
About the Firm:Our client is a nationally respected, privately held Registered Investment Advisor (RIA) 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:In this newly created position, you will play a vital role in the 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, growth-oriented 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 elevate 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 elevate exceptions appropriately
- Contribute to the continuous improvement of processes and workflows
- Bachelor's degree required
- Active FINRA Series 7 license required
- 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
- Career Growth:
Direct access to leadership, real advancement opportunities - Impactful Work:
Your insights and ideas will directly influence operations - Firm Stability: 50+ 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!
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