Investment Operations Specialist: Reporting & Compliance

Regions Bank; Hoover (AL); On-site; USD 45,000 - 56,000; Full time

Benefits offered by this job

Paid vacation

401K match

Medical/Dental/Vision

Disability benefits

Health Savings Account

Flexible Spending Account

Life Insurance

Parental Leave

Employee Assistance Program

Associate Volunteer Program

Job summary

Regions Bank in Hoover, Alabama seeks an RIS Investment Operations Specialist to provide operational support within the Investment Services division for advisors, clients, and internal partners.

The role includes coordinating ad hoc requests across Marketing Central, Bridge, Portfolio Access and DocuSign, pulling routine reports, and supporting marketing campaigns while ensuring compliance through training and audits.

Qualifications

• High School Diploma or GED required.
• Three years of banking or financial services experience.

Responsibilities

• Collects, logs, and ensures filing accuracy of Financial Advisor account transaction packages monthly.
• Coordinates support for ad hoc requests in Marketing Central, Bridge, Portfolio Access, DocuSign, etc.
• Pulls routine and ad hoc reports such as performance and production reports.
• Facilitates marketing campaigns by compiling content in Marketing Central.
• Hosts team training seminars and virtual meetings with AIE as needed.
• Participates in semi-annual audits of Financial Advisors’ Book of Business to ensure compliance guidelines.
• Participates in annual branch audits by compiling audit requirements and running demonstration classes.
• Updates and reviews operational task procedures approved by compliance.

Skills

Problem solving

Communication skills

Microsoft Office

Analytical skills

Attention to detail

Education

High School Diploma or GED

Tools

DocuSign

Marketing Central

Bridge

Portfolio Access

Job description

Regions Bank in Hoover, Alabama seeks an RIS Investment Operations Specialist to provide operational support within the Investment Services division for advisors, clients, and internal partners.

The role includes coordinating ad hoc requests across Marketing Central, Bridge, Portfolio Access and DocuSign, pulling routine reports, and supporting marketing campaigns while ensuring compliance through training and audits.