Investment Operations Specialist — Broker-Dealer & Client Experience

RK Partners; Chicago (IL); On-site; USD 65,000 - 90,000; Full time

Job summary

RK Partners in Chicago, IL seeks an Investment Operations specialist to support the Investment Specialist in daily operations, broker-dealer paperwork, and client meetings. Role requires obtaining FINRA Series 66 & Series 7 and Series 66 licenses within 9 months.

In-person position with biweekly compensation and an employee benefits package. Responsibilities include coordinating the investment calendar, training Registered Representatives, and coordinating with home office on initiatives while

Qualifications

• Strong interpersonal skills and professional presentation.
• Licenses and registrations (Life, Accident & Health, SIE, S7 and S66) within 9 months.
• Excellent verbal and written communication skills.
• Technology savvy with Microsoft Office.
• Demonstrates initiative and urgency.
• Detail-oriented and confidential handling of information.
• Good time management and operational efficiency.
• Business acumen and respect for colleagues and clients.
• Collaborative team player with problem solving ability.

Responsibilities

• Coordinate daily Firm activities and investment calendar with the Investment Specialist.
• Serve as subject matter expert for broker-dealer paperwork requirements.
• Provide orientations and training for new Registered Representatives.
• Assist recruitment of new Registered Representatives with business transitions.
• Communicate process updates to ensure compliance with standards.
• Train others to use systems for maximum efficiency.
• Support development of brokerage and wealth management platforms.
• Coordinate product training with wholesalers and drive growth initiatives.
• Collaborate with home office initiatives and address challenges with analysts.
• Prepare meetings, notes, and CRM documentation; manage client communications.

Skills

Interpersonal skills

Licenses & registrations

Verbal & written communication

Initiative

Urgency

Detail-oriented

Discretion

Time management

Business acumen

Team player

Problem solving

Tools

Microsoft Office Suite

Job description

RK Partners in Chicago, IL seeks an Investment Operations specialist to support the Investment Specialist in daily operations, broker-dealer paperwork, and client meetings. Role requires obtaining FINRA Series 66 & Series 7 and Series 66 licenses within 9 months.

In-person position with biweekly compensation and an employee benefits package. Responsibilities include coordinating the investment calendar, training Registered Representatives, and coordinating with home office on initiatives while