Investment Services Operations Specialist

Navy Federal Credit Union; San Diego (CA); On-site; USD 54,000 - 76,000; Full time

Job summary

Navy Federal Credit Union’s NFIS group seeks an experienced operations professional to oversee account setup paperwork for securities, digital investor services, and insurance. You will ensure accuracy, regulatory adherence, and timely processing while supporting audits and cross-functional teams.

The role requires knowledge of SEC/FINRA rules, relevant licenses, and the ability to work independently within a team to resolve complex operational issues and maintain high service levels.

Qualifications

• 2+ years in financial services, preferably securities/insurance, providing operational/administrative support.
• Knowledge of SEC and FINRA regulations regarding securities records.
• Active registrations/licenses including FINRA series 7 & 24, NASAA 65/66 (and 63 where required) and Life & Health Insurance License to be obtained within 120 days.
• Experience using CRD & IARD databases to manage registered securities employee records.
• Able to work independently and in a team environment.
• Able to interpret data/instructions and apply procedures and regulations effectively.
• Strong interpersonal skills with staff, management, vendors, and members.

Responsibilities

• Review, process, and approve account paperwork for investment services for completeness and accuracy.
• Support audits by gathering and organizing required documentation.
• Respond to routine inquiries about account status and documentation.
• Maintain knowledge of SEC/FINRA regulations and escalate complex issues.
• Assist in tracking and filing securities/insurance records for regulatory compliance.
• Collaborate with Relationship Managers to resolve operational issues.
• Compile data for reports, audits, and projects and distribute to stakeholders.
• Contact members/staff/vendors to obtain missing information and resolve issues.
• Educate managers on systems, processes, timelines, and reporting practices.

Skills

Verbal and written communication

Independence

Team collaboration

Regulatory awareness

Education

FINRA/NASAA licenses (pending) & Life & Health Insurance License

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; elevate complex issues to senior staff


• 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


• Active industry registrations and licenses, including: 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 records


• 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

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.

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• 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


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• 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 2026

From 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.

Disclaimers

Navy Federal reserves the right to fill this role at a higher/lower grade level based on business need. An assessment may be required to compete for this position. Job postings are subject to close early or extend out longer than the anticipated closing date at the hiring team’s discretion based on qualified applicant volume. Navy Federal Credit Union assesses market data to establish salary ranges that enable us to remain competitive. You are paid within the salary range, based on your experience, location and market position. For additional details regarding compensation and benefits, review the Benefits page of the Navy Federal Career Site.

Bank Secrecy Act

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