Investment Operations Specialist: Compliance & Accounts

Navy Federal Credit Union; Pensacola (FL); On-site; USD 55,000 - 75,000; Full time

Job summary

Navy Federal Credit Union is seeking an Operations Associate for Navy Federal Financial Group's brokerage, digital, and insurance services. You will review and approve new account paperwork, support audits, and respond to inquiries while ensuring regulatory adherence.

The role develops foundational expertise in securities operations, collaborating with relationship managers and internal teams to resolve issues and maintain accurate records.

Qualifications

• 2+ years in financial services, preferably Securities/Insurance, with operational/administrative duties.
• Familiarity with broker/dealer operations and regulatory expectations.
• Ability to work independently and with a team to meet deadlines.

Responsibilities

• Review, process, and approve account paperwork for investment services for completeness and accuracy.
• Support internal and external audits by gathering and organizing required documentation.
• Respond to routine inquiries from staff and vendors regarding account status.
• Maintain knowledge of SEC and FINRA regulations and internal policies.
• Assist in tracking and filing securities and insurance records per regulatory standards.
• Coordinate responses to operational, compliance, and data analytics requests.
• Collaborate with Client Relationship Managers to resolve operational issues.
• Prepare statistical data for reports, audits, and projects.

Skills

Securities operations

Regulatory compliance

Documentation & recordkeeping

Communication & teamwork

Regulatory knowledge (SEC/FINRA)

Tools

CRD & IARD databases

Job description

Navy Federal Credit Union is seeking an Operations Associate for Navy Federal Financial Group's brokerage, digital, and insurance services. You will review and approve new account paperwork, support audits, and respond to inquiries while ensuring regulatory adherence.

The role develops foundational expertise in securities operations, collaborating with relationship managers and internal teams to resolve issues and maintain accurate records.