Qualifications

• Education
• Bachelor’s degree in business administration, finance, operations management, or related field (Master’s degree preferred)

Experience

• 3-5 years in the securities industry, with a finance background or related experience considered

ROLE:

The Investment Operations Manager ensures effective execution of Diverse Wealth’s investment strategies, adherence to compliance standards, and accurate operational reporting, while fostering a collaborative and high-performance team culture.

RESPONSIBILITIES:

Operational Management

• Implement and oversee efficient operational processes across investment activities, including order execution, account setup, maintenance, and various service requests.
• Coordinate support functions such as trade execution, settlement, and reconciliation to ensure seamless operations.

Compliance

• Maintain compliance records in alignment with securities industry regulations and standards.
• Engage in continuous communications with Advisors and compliance supervisors to identify and address potential compliance matters.

Training and Development

• Educate team members on investment operation fundamentals, focusing on cross-functional tasks and backup support strategies.
• Facilitate training sessions and coordinate regulatory communications within the wealth team.

Process Improvement:

• Identify opportunities for process improvements and implement best practices.
• Streamline planning processes to enhance productivity and reduce costs.

Advisor and Team Collaboration

• Serve as the primary contact for trade correction and commission adjustment inquiries, ensuring resolutions are efficient.
• Work closely with Advisors and support staff to facilitate seamless operations.

Qualifications

• Education
• Bachelor’s degree in business administration, finance, operations management, or related field (Master’s degree preferred).

Licensing

• Series 63 and Series 7 required.

Experience

• 3-5 years in the securities industry, with a finance background or related experience considered.