Investment Operations Specialist

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

Benefits offered by this job

Performance bonus

Job summary

CMC Recruiting client is seeking an Investment Operations Specialist to support day-to-day administration and operational functions of the investment platform. This role focuses on account administration, money movement, trading, and brokerage operations to ensure a seamless client and advisor experience.

Ideal candidate has Series 7, Series 63 or 66 preferred, and 2–5 years in wealth management or brokerage operations, with strong attention to detail in a fast-paced environment.

Qualifications

• Series 7 required; 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.
• Excellent communication and client service skills.

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.

Skills

Attention to detail

Communication skills

Multitasking

Client service

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