RIS Investment Operations Specialist- North Alabama

Job Description

At Regions, the RIS Investment Operations Specialist provides operational support, such as reporting and customer account maintenance, within the Investment Services division to advisors, clients, and internal partners.

• Collects, logs, and ensures filing accuracy of Financial Advisor account transaction packages on a monthly basis.
• Acts as a resource to Financial Advisors, coordinating support and coaching for ad hoc requests and questions in platforms such as Marketing Central, Bridge, Portfolio Access, Docu Sign, etc.
• Pulls routine and ad hoc reports such as performance and production reports.
• Facilitates marketing campaigns by compiling new and relevant content in Marketing Central at the direction of Financial Advisors.
• Partners with AIE to host team training seminars, virtual meetings, and operational best practices classes as needed.
• Participates in semi-annual audits of Financial Advisors’ Book of Business to ensure internal and external compliance guidelines are met.
• Participates in annual branch audits by compiling State, Federal, and Cetera Audit requirements as well as running audit demonstration classes to prepare Financial Advisors.
• Updates and reviews operational task procedures approved by compliance.

This position requires tracking of time and is eligible for overtime for hours worked in excess of 40 per week under the Fair Labor Standards Act.

• High School Diploma or GED.
• Three (3) years of banking or financial services experience.

• Bank brokerage experience.

• Ability to research and solve problems.
• Excellent verbal and written communication skills.
• Proficient at Microsoft Office (Excel, Word, etc).
• Strong analyzing, coordinating, and follow-up skills.
• Strong attention to detail.

Full time.

Pay ranges are job specific and are provided as a point‑of‑market reference for compensation decisions. Other factors which directly impact pay for individual associates include experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position.

Minimum: $50,500.00 USD

Median: $63,650.00 USD

This job is not incentive eligible.

• Paid Vacation/Sick Time
• 401K with Company Match
• Medical, Dental and Vision Benefits
• Disability Benefits
• Health Savings Account
• Flexible Spending Account
• Life Insurance
• Parental Leave
• Employee Assistance Program
• Associate Volunteer Program

Huntsville, Alabama – Huntsville AL LOB

Equal Opportunity Employer/including Disabled/Veterans.

Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher‑volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.