Manager Investment Operations

Job Summary

The Investment Operations Manageris responsible for leading the Processing Team that supports new account opening and ongoing account service requests. This role provides day-to-day leadership, ensures timely and accurate processing, manages exception/NIGO (Not In Good Order) items through resolution, and drives continuous improvement across workflows and service standards. The Investment Operations Manager partners closely with internal stakeholders to ensure a consistent, compliant, and scalable operating model.

This role collaborates with adjacent teams (including AOR/Account Changes, PRT, Controls, etc.) for effective handoffs and communication.

• Provide leadership, coaching, and direction to the Processing Team to ensure clear priorities, accountability, and consistent execution.
• Conduct regular team meetings to share updates, address issues, reinforce standards, and support team development.
• Provide backup operational support across Investment Operations as business needs require to maintain service continuity.

• Oversee end-to-end processing for new account openings and account maintenance/service requests, ensuring accuracy, timeliness, and adherence to established procedures.
• Serve as an escalation point for In Good Order (IGO) processing questions, exceptions, and complex cases, coordinating resolution with internal partners as needed.
• Manage NIGO and exception workflows, including confirming or overriding NIGOs when appropriate, documenting decisions, and ensuring timely resolution.

• Monitor workflow queues, dashboards, and service metrics (e.g., volume, cycle time, SLA performance, call volumes).
• Identify trends, risks, and capacity constraints and proactively communicate findings and recommendations to leadership.

• Maintain and continuously enhance process documentation, job aids, and reference materials to support onboarding, training, and cross-training.
• Identify, prioritize, and implement process improvements to standardize workflows, reduce exceptions, automate manual tasks, and improve overall efficiency and accuracy.

• Partner with Compliance, Controls/Principal Review, custodians, vendors, and peer operations leaders to ensure workflows align with regulatory requirements and internal standards.
• Ensure accurate and complete documentation within CRM and case management systems to support auditability and regulatory expectations.
• Coordinate closely with the AOR/Account Changes function to ensure smooth handoffs and shared client service outcomes.

• Monitor custodian policies, procedures, and paperwork changes and communicate updates to the Processing Team.
• Escalate business impacts or operational needs resulting from custodian changes to leadership as appropriate.

• Strong knowledge of financial services operations, industry regulations, and investment products.
• Strong knowledge of Valmark operational procedures, paperwork, and processing requirements.
• Demonstrated ability to lead teams in a fast‑paced, high‑volume environment while meeting service standards.
• Excellent analytical, problem‑solving, and research skills; ability to identify root causes and implement durable fixes.
• Clear written and verbal communication skills; ability to work effectively with Member Offices, custodians/vendors, and internal stakeholders.
• Ability to delegate effectively with clear direction and strong follow‑up; hands‑on leadership and mentorship.
• Technology proficiency (e.g., Microsoft 365, CRM/case tools, document management, and custodial/vendor platforms) and comfort with workflow reporting/metrics.
• Change leadership mindset; continuous improvement orientation (standardization, automation, and exception reduction).

This position has direct supervisory responsibility for the Processing Team supporting New Business and Service, including hiring input (as applicable), training, performance management,…