Wealth Investment Operations Specialist

CMC Recruiting; Charlotte (NC); On-site; USD 75,000 - 85,000; Full time

Job summary

Our client in Charlotte, NC is seeking an Investment Operations Specialist to support day-to-day administration and operational functions of the firm's investment platform. The role focuses on account administration, money movement, trading, and brokerage operations to ensure a seamless client and advisor experience.

Ideal candidates have 2–5 years in investment operations, hold Series 7, and Series 63/66 preferred.

Qualifications

• Series 7 required; Series 63 or 66 preferred.
• 2–5 years in investment operations or wealth management operations.
• Experience with account opening, money movement, trading, trusts, estates, brokerage operations.
• Strong attention to detail and organizational skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Excellent communication and client service skills.
• Self-motivated with the ability to work independently.
• Genuine interest in building a long-term career within investment 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

Attention to detail

Organizational skills

Communication skills

Client service

Independent work

Job description

Our client in Charlotte, NC is seeking an Investment Operations Specialist to support day-to-day administration and operational functions of the firm's investment platform. The role focuses on account administration, money movement, trading, and brokerage operations to ensure a seamless client and advisor experience.

Ideal candidates have 2–5 years in investment operations, hold Series 7, and Series 63/66 preferred.