Investment Operations Specialist — Hybrid Wealth Mgmt Growth

SGL Financial, LLC; Buffalo Grove (IL); Hybrid; USD 70,000 - 75,000; Full time

Benefits offered by this job

Hybrid work after six months

PTO 15 days + holidays

401(k) with company match

Health, dental, vision insurance

Monthly company lunches

Starbucks coffee machine

Job summary

SGL Financial is seeking an Investment Operations Support Specialist to join our Trading team in Buffalo Grove, IL. This role supports Financial Advisors, Financial Planners, and clients by ensuring transactions, account maintenance requests, money movement, and workflows are processed accurately and efficiently.

The ideal candidate has a Series 65 license and up to 1 year in financial services, with strong Excel skills, attention to detail, and the ability to manage multiple priorities.

Qualifications

• Series 65 license required.
• Minimum 1 year of experience in financial services, operations, banking, wealth management, or an administrative support role.
• Strong proficiency with Microsoft Excel.
• Excellent organizational skills and attention to detail.
• Strong written and verbal communication skills.
• Ability to manage multiple priorities while meeting deadlines.
• Strong problem-solving and follow-up skills.
• Ability to work independently after training while following established procedures.
• High level of professionalism when handling confidential financial information.

Responsibilities

• Monitor investment operations inboxes and workflow queues throughout the day.
• Review operational requests submitted by Advisors and Planners.
• Process account maintenance requests and ensure documentation requirements are met.
• Coordinate client money movement requests, including transfers, withdrawals, distributions, journals, ACH transactions, and wires.
• Monitor transaction statuses and follow up with custodians and trading partners.
• Route approved trade requests and track execution status.
• Review Schwab alerts, operational notifications, and outstanding service requests.
• Update internal workflow systems and maintain accurate records.
• Communicate transaction statuses, documentation requests, and processing updates to team members.
• Follow up on outstanding custodian requests and unresolved operational items.
• Assist with operational reporting, reconciliations, and billing support activities.
• Escalate unusual transactions, compliance concerns, or complex issues to management.

Skills

Series 65

Financial services experience

Excel

Organizational skills

Communication

Multi-tasking

Problem solving

Independence

Professionalism

Education

Bachelor's degree (preferred)

Job description

SGL Financial is seeking an Investment Operations Support Specialist to join our Trading team in Buffalo Grove, IL. This role supports Financial Advisors, Financial Planners, and clients by ensuring transactions, account maintenance requests, money movement, and workflows are processed accurately and efficiently.

The ideal candidate has a Series 65 license and up to 1 year in financial services, with strong Excel skills, attention to detail, and the ability to manage multiple priorities.