This role leads and oversees investment operations functions, ensuring high-quality service delivery, regulatory compliance, and effective risk management. The position drives operational efficiency, supports business growth, and develops a high-performing team while strengthening partnerships with internal stakeholders and field partners.
- This role can be hybrid (Lincoln, NE or Cincinnati, OH) or fully remote for the right candidate.
What you do:- Build and maintain strong relationships with internal departments and field partners by providing guidance, education, and issue resolution.
- Manage and develop a team responsible for investment operations functions, including coaching, performance management, and talent development.
- Oversee daily operations to ensure timely, accurate processing, reconciliation, and service delivery across all assigned functions.
- Monitor quality and performance through reviews, reporting, and metrics; identify risks and implement controls to ensure adherence to policies and standards.
- Ensure compliance with regulatory requirements, and internal policies; support and coordinate audits and examinations.
- Resolve complex escalations from team members, internal partners, and field partners by identifying root causes and implementing effective solutions.
- Evaluate and improve workflows, systems, and procedures to enhance efficiency, reduce risk, and improve the overall processing experience.
- Produce and analyze operational and management reporting, providing insights and recommendations to support decision-making.
- Develop, implement, and maintain policies, procedures, and best practices to ensure consistent and compliant operations.
- Review and approve key transactions and activities, ensuring accuracy, completeness, and alignment with business and regulatory requirements.
What you bring:- Bachelor's Degree or equivalent experience is required.
- 4-7 years of experience with a Broker-Dealer /and/or RIA is required.
- Previous leadership or supervisory experience of 2+ years strongly desired
- Experience with cashiering/money movement is strongly preferred.
- FINRA series 7 and 24 are required.
- FINRA Series 66 or 63 & 65 are preferred.
- Experience in advisory and/or financial planning fee billing, and operations processing is preferred.
- Previous experience with National Financial Services, Schwab, Docupace, Orion desired.
