RIS Investment Operations Specialist

• Provides operational support 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 both 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

Requirements

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

Core Competencies

Demonstrates expertise in operational support within Investment Services, ensuring compliance and accuracy in financial transactions while effectively coordinating with Financial Advisors and internal partners. Proficient in facilitating training and marketing initiatives to enhance advisor performance and client engagement.

Highest-signal resume keywords

• Operational Support
• Financial Services Experience
• Bank Brokerage Experience
• Compliance Guidelines
• Training Facilitation

ATS Optimization Keywords

Hard Skills

• Financial Transaction Management
• Report Generation
• Audit Participation
• Content Compilation
• Filing Accuracy

Soft Skills

• Coaching
• Communication
• Collaboration

Certifications & Qualifications

• High School Diploma
• GED

Industry Keywords

• Investment Services
• Financial Advisors
• Banking
• Compliance
• Audit Requirements

Tools & Technologies

• Marketing Central
• Bridge
• Portfolio Access
• Docu Sign