Investment Operations Support Specialist

SGL Financial is an established wealth management and financial planning firm serving the Buffalo Grove and Chicago area for more than 22 years.

We oversee approximately $650 million in assets and proudly serve more than 850 families through our comprehensive wealth management, retirement planning, investment management, and insurance planning services.

Our mission and core beliefs guide everything we do:

• Our clients' financial security and peace of mind are always our #1 focus
• Exceptional service, responsiveness, and attentiveness are non-negotiable
• A passion for financial planning and helping others is at the heart of everything we do
• Relationships matter most. Our clients become part of our extended family

We provide a stable, growing organization with proven systems, strong leadership, advanced technology, marketing support, and a collaborative team environment that allows our team members to focus on delivering exceptional client experience.

Are you highly organized, detail-oriented, and interested in building a career in the financial services industry?

SGL Financial is seeking an Investment Operations Support Specialist to join our Trading team. This position plays a critical role in supporting Financial Advisors, Financial Planners, and clients by ensuring transactions, account maintenance requests, money movement, and operational workflows are processed accurately and efficiently.

This is an excellent opportunity for an individual with a Series 65 license and limited direct RIA experience who is looking to gain hands-on exposure to investment operations, wealth management, trading support, and custodial relationship management while working alongside experienced industry professionals.

The ideal candidate thrives in a fast-paced environment, enjoys managing multiple priorities, has exceptional attention to detail, and takes pride in ensuring tasks are completed accurately and on time.

As an Investment Operations Support Specialist, you will support the day-to-day operational functions of our wealth management practice by:

• Monitoring investment operations inboxes and workflow queues throughout the day
• Reviewing operational requests submitted by Advisors and Planners
• Processing account maintenance requests and ensuring documentation requirements are met
• Coordinating client money movement requests, including transfers, withdrawals, distributions, journals, ACH transactions, and wires
• Monitoring transaction statuses and following up with custodians and trading partners
• Routing approved trade requests and tracking execution status
• Reviewing Schwab alerts, operational notifications, and outstanding service requests
• Updating internal workflow systems and maintaining accurate records
• Communicating transaction statuses, documentation requests, and processing updates to team members
• Following up on outstanding custodian requests and unresolved operational items
• Assisting with operational reporting, reconciliations, and billing support activities
• Escalating unusual transactions, compliance concerns, or complex issues to management

• Monitor and manage assigned operational inboxes and task queues
• Process routine account servicing and maintenance requests
• Review documentation for completeness and accuracy
• Coordinate routine money movement transactions
• Track account transfers and transaction requests from submission through completion
• Monitor Schwab and custodian alerts and service updates
• Follow up with custodians regarding pending requests
• Maintain transaction logs, workflow records, and operational documentation
• Update VFM and other internal systems with request statuses and notes
• Communicate regularly with Advisors and Planners regarding…