Associate Specialist - Operations

General information

# 22842

Remote? No

Ally Financial only succeeds when its people do - and that’s more than some cliché people put on job postings. We live this stuff! We see our people as, well, people - with interests, families, friends, dreams, and causes that are all important to them. Our focus is on the health and safety of our teammates as well as work-life balance and diversity and inclusion.

From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves professionally. We want to help you grow, develop, and learn new things. You’re constantly evolving, so shouldn’t your opportunities be, too?

The Associate Specialist - Operations supports key brokerage operations functions in a fast-paced environment. Responsibilities include Cashiering and Funds Movement, New Accounts and Account Maintenance, Mail and Document Processing, ACATS transfers, and other operational activities. This role ensures accuracy, compliance, and proper recordkeeping while processing high-risk transactions and partnering with Compliance, clients, broker-dealers, and internal teams to resolve issues and support business needs.

• Perform a variety of brokerage operations functions in accordance with established policies, procedures, and regulatory requirements.
• Maintain accurate records and client information to support operational excellence and compliance.
• Stay current on operational processes, products, and industry regulations.
• Respond to client inquiries via phone, email, and other communication channels with professionalism and exceptional service.
• Process and review activities including asset and money movement requests, CIP requirements, new account openings, account maintenance, and reporting reviews.
• Identify operational risks and process improvement opportunities, assist with workflow documentation, and support implementation of enhanced processes.
• Manage multiple priorities while ensuring accuracy, efficiency, and timely completion of daily responsibilities.
• Serve as a subject matter expert for brokerage back-office functions and support the training and onboarding of new team members.
• Partner with Operations leadership and Compliance on special projects, client complaint investigations, regulatory responses, and other business initiatives.
• Work independently, exercise sound judgment, and appropriately elevate issues when needed.
• Works closely with Management team and Compliance to assist on special projects and researching client compliant issues including but not limited to completing responses to complaints for Management review.
• Ability to perform aforementioned tasks with little to no supervision during processing.
• Understanding of when to escape matters and to seek assistance from senior members of the team.

• 0+ years of experience
• High School Diploma or GED equivalent

• Financial services industry experience preferred.
• FINRA Series 7 and 63 licenses are preferred.
• Bachelor's Degree in Finance, Economics, Business or related field preferred.
• Understanding of financial, brokerage, or trading practices preferred.
• Ability to work well with others, multi-task and handle issues while working under time constraints.
• Ability to work in high-pressure environment with strict SLA's and deadlines.
• Results oriented with good organizational skills including attention to detail and accuracy.
• Excellent oral and written communication and strong desire to provide an exceptional customer experience.
• Demonstrated experience in handling client concerns and issues with tact and diplomacy.
• Able to exercise independent thought and judgment and adapt to new tasks with little notice.
• Ability to communicate effectively in person, email and across departments.
• Ability and willingness to work a fully onsite schedule, Monday through Friday, from 8:00 AM to 5:00 PM.

Ally's compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals. But Ally’s total compensation - or total rewards -…