Investment Operations Specialist
Runs investment account operations across trading, transfers, account lifecycle, and member experience while training Associates and shipping process improvements. Requires 4–6+ years of investment or brokerage operations experience and a Series 7, 63, or 65/66 license.
About the job
Responsibilities
- Independently run Trading, Transfers, Account Lifecycle, and Investment Experience functions, and train at least one Associate.
- Own trading operations from suitability review through daily rebalancing checks, exercising approval authority within defined limits.
- Ensure member funds move accurately and on time; independently resolve transfer issues.
- Guide accounts from approved application through full investment, clearing operational blockers with occasional oversight.
- Serve as a licensed member contact and escalation resource for Associates.
- Ship at least one automation or process improvement independently.
- Partner with Certified Financial Planners and the broader investments team, gaining exposure to investment management and portfolio modeling.
Requirements
- 4–6+ years of experience in investment operations, brokerage operations, or a comparable financial services role.
- Deep familiarity with custodial or clearing platforms and core brokerage workflows.
- Experience running operations functions independently and documenting or explaining processes clearly.
- Strong attention to detail and sound judgment regarding approval limits and escalation.
- Clear written and verbal communication, including confidence speaking directly with members.
- Series 7, 63, or 65/66 license required.
Nice-to-haves
- FinTech, registered investment adviser, or broker-dealer experience.
- Experience with automation, process improvement, investment management, or portfolio modeling.
Benefits
- Employer-covered medical insurance, plus dental and vision coverage.
- 401(k) retirement savings program.
- Paid time off and federal holidays.
- Parental leave.
- Select covered meals.
- Monthly fitness stipend.
- Equity, early exercise eligibility, and professional development.
- Access to AI tools.
- Annual compensation reviews with salary and equity refreshes.
- Boomerang program allowing eligible employees to take time away to start a company and return within six months.
Skills
Investment Operations, Trading, Transfers, Account Lifecycle, Investment Experience, Brokerage Operations, Custodial Platforms, Clearing Platforms, Portfolio Modeling, Process Automation, Series 7, Series 63, Series 65/66
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