Investment Operations Specialist

CMC Recruiting; Charlotte (NC); On-site; USD 75,000 - 85,000; Full time

Job summary

CMC Recruiting is partnering with a growing wealth management practice in Charlotte, NC to hire an Investment Operations Specialist. You will handle day-to-day account administration, money movement, and trading to support advisors and clients.

Ideal candidates have Series 7 and Series 63 or 66 preferred, 2–5 years in investment operations, and a strong attention to detail. This role offers a base salary range of $75k–$85k with a potential performance bonus and opportunities for career growth in

Qualifications

• Series 7 required and Series 63 or 66 preferred
• 2–5 years of experience in investment operations, wealth management operations, brokerage operations, or a related financial services environment
• Experience with account opening, money movement, trading, trusts, estates, and brokerage operations
• Strong attention to detail and organizational skills
• Ability to manage multiple priorities in a fast paced environment
• Excellent communication and client service skills
• Self motivated with the ability to work independently
• Genuine interest in building a long term career within investment operations

Responsibilities

• Manage the opening, maintenance, and servicing of client investment accounts
• Process deposits, withdrawals, transfers, distributions, and other money movement requests
• Execute trades within advisory and brokerage accounts
• Coordinate transactions with custodians and financial institutions
• Support trust accounts, estate processing, beneficiary updates, and account registration changes
• Ensure accurate documentation and adherence to regulatory and compliance requirements
• Maintain detailed records of client transactions and account activity
• Respond to operational inquiries from clients and internal team members
• Assist with compliance reporting and operational record keeping
• Identify opportunities to improve workflows and operational efficiency
• Support the investment team with day to day brokerage and account administration activities

Job description

Compensation: $75,000–$85,000 base salary + $5,000–$10,000 performance based bonus

Licenses: Series 7 required and Series 63 or 66 preferred

Experience: 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 accounts
• Process deposits, withdrawals, transfers, distributions, and other money movement requests
• Execute trades within advisory and brokerage accounts
• Coordinate transactions with custodians and financial institutions
• Support trust accounts, estate processing, beneficiary updates, and account registration changes
• Ensure accurate documentation and adherence to regulatory and compliance requirements
• Maintain detailed records of client transactions and account activity
• Respond to operational inquiries from clients and internal team members
• Assist with compliance reporting and operational record keeping
• Identify opportunities to improve workflows and operational efficiency
• Support the investment team with day to day brokerage and account administration activities

Ideal Candidate Profile:

• Series 7 required and Series 63 or 66 preferred
• 2–5 years of experience in investment operations, wealth management operations, brokerage operations, or a related financial services environment
• Experience with account opening, money movement, trading, trusts, estates, and brokerage operations
• Strong attention to detail and organizational skills
• Ability to manage multiple priorities in a fast paced environment
• Excellent communication and client service skills
• Self motivated with the ability to work independently
• Genuine interest in building a long term career within investment operations