Investment Operations Specialist — Wealth Management Ops & Trading

CMC Recruiting; Charlotte (NC); On-site; USD 80,000 - 95,000; Full time

Job summary

CMC Recruiting is assisting a growing wealth management practice seeking an Investment Operations Specialist in Charlotte, NC. The role supports day-to-day administration and operational functions of the investment platform, including account servicing, money movement, and trading.

The ideal candidate has Series 7, preferably Series 63 or 66, and 2–5 years of wealth management operations experience. Strong accuracy, organization, and client service skills are essential in a fast-paced

Qualifications

• Series 7 required; Series 63 or 66 preferred.
• 2–5 years of experience within wealth management or related financial services.
• Experience with account opening, money movement, trading, trusts and estates, and brokerage operations.

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

Series 7 license

Series 63/66 preferred

2-5 years wealth management operations

Job description

CMC Recruiting is assisting a growing wealth management practice seeking an Investment Operations Specialist in Charlotte, NC. The role supports day-to-day administration and operational functions of the investment platform, including account servicing, money movement, and trading.

The ideal candidate has Series 7, preferably Series 63 or 66, and 2–5 years of wealth management operations experience. Strong accuracy, organization, and client service skills are essential in a fast-paced