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CMC Recruiting · Charlotte
Location:
Charlotte, NC | Hybrid
Compensation:
$75,000–$85,000 base salary + $5,000–$10,000 performance based bonus
Licenses:
Series 7 required and Series 63 or 66 preferred
2–5 years within wealth management
Our client is a growing wealth management practice dedicated to delivering comprehensive financial planning and investment management services to individuals and families. The team is known for its collaborative culture, commitment to client service, and focus on operational excellence.
Our client is seeking an Investment Operations Specialist to support the day to day administration and operational functions of the firm's investment platform. This individual will play a key role in account administration, money movement, trading, and brokerage operations while helping ensure a seamless experience for both clients and advisors.
This opportunity is ideal for someone who enjoys the operational side of wealth management, takes pride in accuracy and efficiency, and is looking to build a long term career within investment operations.
Key Responsibilities:
Manage the opening, maintenance, and servicing of client investment accounts
Process deposits, withdrawals, transfers, distributions, and other money movement requests
Execute trades within advisory and brokerage accounts
Coordinate transactions with custodians and financial institutions
Support trust accounts, estate processing, beneficiary updates, and account registration changes
Ensure accurate documentation and adherence to regulatory and compliance requirements
Maintain detailed records of client transactions and account activity
Respond to operational inquiries from clients and internal team members
Assist with compliance reporting and operational record keeping
Identify opportunities to improve workflows and operational efficiency
Support the investment team with day to day brokerage and account administration activities
Ideal Candidate Profile:
Series 7 required and Series 63 or 66 preferred
2–5 years of experience in investment operations, wealth management operations, brokerage operations, or a related financial services environment
Experience with account opening, money movement, trading, trusts, estates, and brokerage operations
Ability to manage multiple priorities in a fast paced environment
Self motivated with the ability to work independently
Genuine interest in building a long term career within investment operations
Details
| Company | CMC Recruiting |
| Location | Charlotte |
| Type | FULL TIME |
| Niche | Full-time |
| Salary | $75,000 – $75,000 / yr |