Investment Operations Specialist
Full-time, in-officeCeres, California
We are seeking an Investment Operations Specialist to join our firm and help us expand our wealth management services. In this role, you will play a crucial part in ensuring the success of our clients by accurately processing their investment paperwork and maintaining compliance with regulations.
Key responsibilities
- Prepare and process investment account applications, transfers (ACATs), and tax documents
- Maintain accurate and up-to-date records in Redtail CRM and AdviceWorks
- Respond to client inquiries related to account paperwork, documentation status, and logistics
- Ensure compliance with internal policies, FINRA, SEC, and Avantax protocols
- Liaise with custodians and broker-dealer contacts (Avantax) for account updates and issue resolution
- Coordinate with the financial advisor and team to facilitate seamless client onboarding
Required qualifications
- High school diploma or equivalent
- Strong attention to detail and organizational skills
- Ability to manage sensitive information with professionalism and discretion
- Excellent verbal and written communication skills
- Client-centered mindset with a commitment to five-star service
- Alignment with RLJ's values: Faith, Family, Trust, Integrity, Morals, and Honesty
Preferred experience & skills
- 2+ years of experience in an investment operations, financial services, or broker-dealer support role
- Bachelor's degree in accounting, finance, or a related field
- Familiarity with Redtail CRM, AdviceWorks, or similar tools
- Working knowledge of compliance regulations (FINRA, SEC, Avantax protocols)
If you're highly organized, detail-oriented, and passionate about supporting others with excellence, we invite you to consider this opportunity. From preparing account paperwork to ensuring compliance with industry regulations, you'll be a key part of delivering the clarity and trust our clients depend on.
"Whatever you do, do all to the glory of God." — 1 Corinthians 10:31