Investment Services Operations Specialist

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

Overview

Provides operational and administrative support functions for Navy Federal Financial Group's brokerage, digital, and insurance services. Acts as a "Principal" for assigned new accounts for NFIS and reviews/approves new accounts and trades for securities, digital investor, and insurance businesses. Focuses on processing, documentation, and compliance support under the guidance of senior staff. Ensure accuracy in account setup, document handling, and regulatory adherence while developing foundational expertise in securities operations.

Responsibilities

• Review, process, and approve account paperwork for investment services and digital investor for completeness and accuracy
• Support internal and external audits by gathering and organizing required documentation
• Respond to routine inquiries from internal staff and vendors regarding account status and documentation
• Maintain current knowledge of SEC, FINRA, and internal policies; es la???
• Assist in tracking and filing securities and insurance records in compliance with regulatory standards
• Participate in team meetings and training sessions to build operational knowledge
• Monitor shared mailboxes, open ticket queues, coordinate responses to operational, compliance, technical, and data and analytics requests, and support timely resolution
• Collaborate with Client Relationship Managers and other internal stakeholders to resolve basic operational issues
• Compile statistical/historical data for group/division reports, audits and projects, distributes to management or third parties/auditors
• Contact members, Navy Federal staff and vendors to obtain additional information, initiate resolution of missing and/or incomplete document issues
• Educate Client Relationship Managers on systems, process and procedures, timelines and best practices related to securities and insurance documentation, filing and reporting
• Perform other related duties as assigned or appropriate

Qualifications

• 2+ years of experience in the financial services industry, preferably in Securities and Insurance, providing operational and/or administrative support
• Knowledge of Securities and Insurance, and application of broker/dealer operations methods, and procedures
• Working knowledge of SEC and FINRA regulations regarding the maintenance of securities records
• Upon selection for this position, the incumbent will be required to obtain FINRA Series 7 and 24, NASAA Series 65 or 66 (and 63 in states where required) registration and Life & Health Insurance License to be obtained within 120 days
• Experience using CRD & IARD databases to create/update registered securities employee recordsli>
• Ability to work independently and in a team environment
• Effective skill following, interpreting and applying relevant data/instructions to guidelines, procedures, practices and regulations
• Skill interacting with staff, management, vendors, members diplomatically & tactfully
• Skill to influence, negotiate & persuade to reach agreeable exchange & positive outcomes
• Effective verbal and written communication skills
• Desired
• Proficiency with database, imaging systems and word processing software
• Demonstrated ability to exercise initiative and judgment, and to work independently and as a team member
• FINRA Series 7 and 24, NASAA Series 65 or 66 (and 63 in states where required) registration and Life & Health Insurance License
• Hours:
• Monday - Friday 8:30 AM - 5:00 PM

Location

• 820 Follin Lane, Vienna, VA 22180
• 9999 Willow Creek Road, San Diego, CA 92131
• 5550 Heritage Oaks Drive, Pensacola, FL 32526

About Us

Navy Federal provides much more than a job. We provide a meaningful career experience, including a culture that is energized, engaged and committed; and fierce appreciation for our teams, who are rewarded with highly competitive pay and generous benefits and perks. Our approach to careers is simple yet powerful: Make our mission your passion.* FORTUNE 100 Best Companies to Work For 2026* Yello and WayUp Top 100 Internship Programs 2025* Computerworld Best Places to Work in IT 2026* Most Loved Workplace - America's Top Most Loved Workplaces 2025* 2025 PEOPLE Companies That Care* Newsweek Most Trustworthy Companies in America 2026* Military Times 2025 Best for Vets Employers* Forbes 2026 America's Best Large Employers* Forbes 2025 America's Best Employers for New Grads* Forbes 2025 America's Best Employers for Tech Workers* 2025 RippleMatch Campus Forward Award Winner for Overall Excellence* Military.com Top Military Spouse Employers 2025* 2026 Handshake Early Talent Award* Newsweek America's Greatest Workplaces for Culture, Belonging and Community 2026From Fortune Magazine. 2026 Fortune Media IP Limited. All rights reserved. Used under license. Fortune and Fortune 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. Fortune Magazine, Fortune Media (USA) Corporation, and its affiliates are not affiliated with, and do not endorse products or services of, Navy Federal Credit Union.

Equal Employment Opportunity: All qualified applicants will receive consideration for employment without regard to age, race, sex, color, religion, national origin, disability, veteran status, pregnancy, sexual orientation, genetic information, gender identity or any other basis protected by applicable law.

Accommodations: If you need accommodation or assistance for a qualifying condition to complete the online application (or during any stage of the hiring process), you can contact Navy Federal's Medical Accommodations team at [e-mail] or by calling 1-888-503-6013. This team cannot provide any information on job postings or application status.

Bank Secrecy Act: Remains cognizant of and adheres to Navy Federal policies and procedures, and regulations pertaining to the Bank Secrecy Act.