Operations Specialist

Job Description

As an Operations Specialist, you will play a crucial role in supporting lead advisors by executing business activities and ensuring seamless operations. Your responsibilities will include preparing client information, maintaining positive client relationships, and responding to client needs through managing account openings, processing forms, and executing transactions. You will handle client requests, execute trades, and serve as a potential backup trader for batch‑trading execution.

Additionally, you will manage critical documents using Docu Sign and Docu Pace, process mail, run daily reports, and assist in financial plan construction. You will also engage in basic economic research and contribute to a collaborative and team‑oriented environment, supporting the company's recruiting process and growth goals.

• Prepare client information and maintain positive relationships with clients.
• Manage account openings, prepare and process forms, and execute transactions as needed.
• Execute client requests including Required Minimum Distributions (RMDs) and Money Transfers.
• Answer and direct phone calls to the appropriate contact.
• Execute trades of stocks, bonds, and mutual funds at an individual account level.
• Serve as a potential backup trader for batch‑trading execution of advisory‑program accounts.
• Send and log critical documents via Docu Sign and Docu Pace software.
• Open and process mail.
• Run and email daily reports.
• Complete recurring task lists.
• Assist in financial plan construction.
• Utilize Bloomberg Report applications for basic economic research.
• Facilitate a collaborative and team‑oriented environment.
• Support the company's recruiting process and growth goals.
• Perform other duties as assigned.

• Experience in operations and customer support.
• Proficiency in Microsoft Excel and data entry.
• Experience in brokerage operations and administrative support.
• Ability to transfer data and manage accounts.
• Experience in processing orders and financial planning.

• Bachelor’s Degree (or equivalent) preferred.
• Preference for 4–6 years of investment industry experience.
• Preference for holding FINRA licenses.
• Ability to pass the SIE exam within 3 months of hire.
• Ability to pass the Series 7 exam within 3 months of completing SIE.
• Ability to pass the Series 66 exam within 3 months of completing Series 7.

You will be working in an open office environment with client contact. The setting is fast‑paced with reasonable noise levels. The role requires on‑site attendance, with sporadic short‑term remote work available upon request and supervisor approval, typically during inclement weather or personal emergencies.

This is a Permanent position based out of Des Moines, IA.

The pay range for this position is $65,000.00 – $75,000.00 / yr.

This is a fully onsite position in Des Moines, IA.

This position is anticipated to close on Jan 20, 2026.

Aston Carter provides world‑class corporate talent solutions to thousands of clients across the globe. Specialized in accounting, finance, human resources, talent acquisition, procurement, supply chain and select administrative professions, we extend the capabilities of industry‑leading companies. We draw on our deep recruiting expertise and expansive network to meet the evolving needs of our clients and talent community with agility and excellence.

With offices across the U.S., Canada, Asia Pacific and Europe, Aston Carter serves many of the Fortune 500. We are proud to be a Clearly Rated Best of Staffing® double diamond winner for both client and talent service.

The company is an equal‑opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please email astoncarter for other accommodation options.