Senior Associate, Client Operations and Compliance

The Coury Firm; Pittsburgh (Allegheny County); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Competitive base salary with performance-based bonuses

Comprehensive medical, dental, and vision insurance

401(k) plan with company match

Paid time off (PTO) and paid holidays

Continuing education and professional development support

Job summary

The Coury Firm seeks a Senior Investment Operations Associate based in Pittsburgh, PA. The role involves managing investment implementation, custodial operations, and compliance support. Applicants should have a Bachelor's degree in finance and 5–8+ years of relevant experience in investment operations or financial services. Strong skills in operational compliance, attention to detail, and CRM tools are essential. The position offers competitive salary, bonuses, and comprehensive benefits, including medical, dental, and 401(k) plan.

Qualifications

• 5-8+ years of experience in investment operations or financial services.
• Strong knowledge of custodial platforms and money-movement workflows.
• Experience in supporting operational compliance and regulatory reviews.

Responsibilities

• Prepare and process account documentation with custodians.
• Execute cash management transactions, ensuring compliance standards.
• Document and improve operational processes and templates.

Skills

Attention to detail

Operational compliance experience

Strong communication

Ability to manage priorities

Education

Bachelor's degree in finance or related field

Tools

CRM systems

ComplySci

Job description

Role Summary

Senior Investment Operations Associate is responsible for investment implementation, custodial operations, and first-line operational compliance support, ensuring accurate, timely, and compliant processing of account activity. This role serves as a subject-matter expert for custodial workflows, transactional execution, and operational controls, and partners closely with Advisors, Client Service Associates, and Compliance to maintain strong operational integrity across the firm.

Reporting to

The Senior Associate Investment Operations reports to the Director of Investment Operations.

Core Responsibilities — Investment Operations

• Independently prepare and process account opening, maintenance, and closure documentation with custodians and applicable vendors; monitor and manage asset transfers, requiring limited assistance except in the most complex circumstances.
• Execute money movement and cash management transactions, including wires, ACH, and transfers, ensuring adherence to firm procedures, custodial requirements, and regulatory standards. Serve as the primary point of accountability for execution standards, issue resolution, error remediation, and escalation related to money movement activity. Serve as the primary operational liaison with custodians and external vendors, including issue resolution, follow-up, and escalation.
• Act as an internal subject-matter resource for investment implementation, account servicing, and custodian-related inquiries.
• Proactively communicate with internal stakeholders when deadlines are at risk, extensions are required, or operational constraints may impact delivery.
• Demonstrate advanced proficiency in firm systems and platforms, including CRM systems, custodian websites, and other relevant operational tools.
• Provide input on, and encourage adoption of, new technology solutions to improve efficiency, accuracy, and scalability.
• Proactively document, develop, and improve operational templates, procedures, workflows, and reference materials.
• Escalate operational issues, risks, and exceptions to appropriate personnel in a timely and professional manner.

Core Responsibilities — Compliance & Risk Support

First-Line Operational Compliance

• Execute and support first-line operational compliance controls related to account administration, transactions, custody, and record‑keeping.
• Maintain and review required operational and compliance logs, ensuring accuracy, completeness, and audit readiness.
• Perform reviews of below items for compliance testing:
• New and closed accounts
• Client fee calculations
• Trade activity and trade errors
• Custody and statement delivery
• IPS alignment (operational validation)
• Track, document, and support resolution of trade errors, client complaints, conflicts of interest, and operational exceptions, escalating as appropriate.
• Support best‑execution reviews, ERISA monitoring, and service‑provider oversight by preparing operational data, documentation, and evidence.
• Coordinate and support ComplySci daily tasks and quarterly attestations, ensuring timely completion and documentation.
• Assist with regulatory examinations, audits, and third‑party reviews by preparing operational evidence and responding to information requests.
• Partner with Compliance and leadership to implement regulatory, custodial, and policy updates into operational workflows.
• Identify potential control gaps, process risks, or recurring issues and recommend improvements.

Qualifications & Experience

• Bachelor’s degree or equivalent experience in finance, operations, or a related field.
• 5–8+ years of experience in investment operations, custodial operations, or financial services operations, preferably within an RIA or regulated environment.
• Strong working knowledge of custodial platforms, account administration, and money‑movement workflows.
• Experience supporting operational compliance, audits, and regulatory reviews.
• High attention to detail with a strong risk and control mindset.
• Ability to operate independently, manage competing priorities, and exercise sound judgment.
• Strong communication skills and comfort partnering cross‑functionally.
• Experience with CRM systems and compliance platforms (e.g., ComplySci) preferred.

Professional Qualities & Founding Principles

• Leadership: The ability to direct and contribute to initiatives and processes within the organization.
• Ethical Practice: The ability to integrate core values, integrity, trustworthiness, and accountability throughout all organizational and business practices.
• Effective Communication: The ability to effectively cooperate and exchange information with stakeholders, staff, and clients.
• Critical Evaluation: The ability to interpret information to make business decisions and recommendations.
• Global & Cultural Sensitivity and Effectiveness: The ability to value and consider the backgrounds and perspectives of all parties.
• Relationship Management: The ability to manage interactions to provide service and to support the organization and its clients.
• Business Acumen: The ability to understand and apply information that can contribute to the organization’s strategic plan.

Benefits

At The Coury Firm, we believe our people are our greatest asset. We offer a comprehensive and competitive benefits package designed to support your personal, professional, and financial well‑being.

• Competitive base salary with performance-based bonus opportunities
• Comprehensive medical, dental, and vision insurance
• 401(k) plan with company match
• Paid time off (PTO) and paid holidays
• Continuing education and professional development support
• Life and disability insurance
• Opportunities for career advancement within a growing, entrepreneurial firm
• Collaborative, team-oriented work culture

Equal Opportunity Employer

The Coury Firm is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All employment decisions are made based on qualifications, merit, and business needs, without regard to race, religion, gender, age, disability, or any other protected status.