Investment Operations Specialist
CMC Recruiting · Charlotte, North Carolina, United States
FULL TIME
Job Description
Location: Charlotte, NC | HybridCompensation: $75,000–$85,000 base salary + $5,000–$10,000 performance based bonus
While professional experience and qualifications are key for this role, make sure to check you have the preferable soft skills before applying if required.
Licenses: Series 7 required and Series 63 or 66 preferredExperience: 2–5 years within wealth management
Our client is a growing wealth management practice dedicated to delivering comprehensive financial planning and investment management services to individuals and families. The team is known for its collaborative culture, commitment to client service, and focus on operational excellence.
Our client is seeking an Investment Operations Specialist to support the day to day administration and operational functions of the firm's investment platform. This individual will play a key role in account administration, money movement, trading, and brokerage operations while helping ensure a seamless experience for both clients and advisors.This opportunity is ideal for someone who enjoys the operational side of wealth management, takes pride in accuracy and efficiency, and is looking to build a long term career within investment operations.
Key Responsibilities:
Manage the opening, maintenance, and servicing of client investment accountsProcess deposits, withdrawals, transfers, distributions, and other money movement requestsExecute trades within advisory and brokerage accountsCoordinate transactions with custodians and financial institutionsSupport trust accounts, estate processing, beneficiary updates, and account registration changesEnsure accurate documentation and adherence to regulatory and compliance requirementsMaintain detailed records of client transactions and account activityRespond to operational inquiries from clients and internal team membersAssist with compliance reporting and operational record keepingIdentify opportunities to improve workflows and operational efficiencySupport the investment team with day to day brokerage and account administration activities
xzbcwsv Ideal Candidate Profile:
Series 7 required and Series 63 or 66 preferred2–5 years of experience in investment operations, wealth management operations, brokerage operations, or a related financial services environmentExperience with account opening, money movement, trading, trusts, estates, and brokerage operationsStrong attention to detail and organizational skillsAbility to manage multiple priorities in a fast paced environmentExcellent communication and client service skillsSelf motivated with the ability to work independentlyGenuine interest in building a long term career within investment operations
While professional experience and qualifications are key for this role, make sure to check you have the preferable soft skills before applying if required.
Licenses: Series 7 required and Series 63 or 66 preferredExperience: 2–5 years within wealth management
Our client is a growing wealth management practice dedicated to delivering comprehensive financial planning and investment management services to individuals and families. The team is known for its collaborative culture, commitment to client service, and focus on operational excellence.
Our client is seeking an Investment Operations Specialist to support the day to day administration and operational functions of the firm's investment platform. This individual will play a key role in account administration, money movement, trading, and brokerage operations while helping ensure a seamless experience for both clients and advisors.This opportunity is ideal for someone who enjoys the operational side of wealth management, takes pride in accuracy and efficiency, and is looking to build a long term career within investment operations.
Key Responsibilities:
Manage the opening, maintenance, and servicing of client investment accountsProcess deposits, withdrawals, transfers, distributions, and other money movement requestsExecute trades within advisory and brokerage accountsCoordinate transactions with custodians and financial institutionsSupport trust accounts, estate processing, beneficiary updates, and account registration changesEnsure accurate documentation and adherence to regulatory and compliance requirementsMaintain detailed records of client transactions and account activityRespond to operational inquiries from clients and internal team membersAssist with compliance reporting and operational record keepingIdentify opportunities to improve workflows and operational efficiencySupport the investment team with day to day brokerage and account administration activities
xzbcwsv Ideal Candidate Profile:
Series 7 required and Series 63 or 66 preferred2–5 years of experience in investment operations, wealth management operations, brokerage operations, or a related financial services environmentExperience with account opening, money movement, trading, trusts, estates, and brokerage operationsStrong attention to detail and organizational skillsAbility to manage multiple priorities in a fast paced environmentExcellent communication and client service skillsSelf motivated with the ability to work independentlyGenuine interest in building a long term career within investment operations
Details
| Company | CMC Recruiting |
| Location | Charlotte, North Carolina, United States |
| Type | FULL TIME |
| Niche | finance |