Senior Complex Operations Associate

RBC Capital Markets, LLC; Denver, San Francisco (CO, CA); On-site; USD 40,000 - 65,000; Full time

Job summary

An established industry player is seeking a Senior Complex Operations Associate to streamline operations and enhance client service. This role involves executing complex tasks, managing client orders, and ensuring smooth operations in a fast-paced environment. With a focus on professional growth, the company offers training and development opportunities, fostering a culture of collaboration and community impact. Join a dynamic team where your contributions will make a significant difference, and enjoy a competitive salary along with flexible work/life balance options.

Benefits

Bonuses

Flexible Benefits

Competitive Pay

Commissions

Stock Options

Leadership Support

Career Advancement Opportunities

Flexible Work/Life Balance

Qualifications

• 3+ years of industry experience required.
• Must have Series 7 and Series 66 (or 63/65) licenses.

Responsibilities

• Execute complex operations activities including client orders and funds disbursement.
• Research and resolve complex operational problems independently.

Skills

Customer Service

Data Entry

Data Gathering & Analysis

Desktop Tools

Group Problem Solving

Interpersonal Skills

Knowledge Organization

Teamwork

Time Management

Word Processing

Education

Associate's Degree

Bachelor's Degree

Tools

Microsoft Office

Job description

Job Summary

Job Description

What is the opportunity?

As a Senior Complex Operations Associate, you will be responsible for executing complex operations activities, including entering client orders, accepting and disbursing client funds and securities, and other tasks essential to the smooth functioning of the complex's cage operations and overall operations. You will also research and resolve complex operational problems independently.

At RBC Wealth Management, we value your career growth. We provide training, development, and learning resources to support your professional journey.

What will you do?

• Facilitate the correction of trade-related errors, cancellations, and rebills in accordance with policies and procedures, ensuring management approval and proper documentation.
• Record checks received from clients accurately, credit them to the correct accounts, and communicate with relevant Financial Advisors or Associates.
• Record securities and coupons received from clients, ensure proper crediting, and transmit necessary documentation to Minneapolis daily.
• Handle general office responsibilities such as mail, faxes, and maintaining operational files as per policies.
• Enter all syndicate tickets by the firm deadline, ensuring completeness, proper documentation, and management approval.

What do you need to succeed?

Must-have

• Series 7 and Series 66 (or 63/65)
• 3+ years of industry experience
• Advanced computer skills (including Microsoft Office)
• Detail-oriented with good math and organizational skills
• Ability to manage multiple demands and priorities

Nice-to-have

• Associate's or Bachelor's degree
• Ability to work independently in a fast-paced, deadline-driven environment
• Strong communication and organizational skills

What's in it for you?

We are committed to growth, collaboration, and community impact. Our benefits include bonuses, flexible benefits, competitive pay, commissions, stock options, leadership support, and opportunities for challenging work and career advancement in a dynamic team environment. We also offer flexible work/life balance options.

The expected salary range is $40,000 - $65,000, depending on experience, skills, and market conditions. This does not include bonuses, benefits, or other elements of total compensation.

Job Skills

Customer Service, Data Entry, Data Gathering & Analysis, Desktop Tools, Group Problem Solving, Interpersonal Skills, Knowledge Organization, Teamwork, Time Management, Word Processing

Additional Job Details

Address: 1801 CALIFORNIA STREET, DENVER

City: Denver

Country: United States of America

Work hours/week: 40

Employment Type: Full-time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date: 2025-04-30

Application Deadline: Applications accepted until 11:59 PM the day before the deadline date.

Inclusion and Equal Opportunity Employment

We believe diversity and inclusion are key to our success. We foster a respectful workplace that supports collaboration, innovation, and professional growth, reflecting our purpose and creating value for clients and communities.

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