Investment Operations Analyst, Coastal South Carolina

Join a dynamic and highly profitable company located in beautiful Coastal South Carolina. We are working with a leading financial firm committed to growth and innovation. They offer an exciting opportunity to become part of a successful team and contribute to their ongoing success. They have a robust growth plan and are dedicated to providing the necessary resources to achieve their goals. Additionally, they proudly offer an Employee Stock Ownership Plan (ESOP), allowing you to share in the success you help create.
They offer:
• Competitive compensation and benefits package.
• Opportunities for professional growth and development.
• A supportive and collaborative work environment.
• The chance to be part of a highly profitable and growing office.
• Participation in an Employee Stock Ownership Plan (ESOP).

Duties:
As Investment Operations Analyst in this Coastal South Carolina office, you will play a pivotal role in the company’s success through robust financial and performance reporting, data management, compliance oversight, and systems interconnectivity. Your responsibilities will encompass daily, quarterly, and annual activities critical to operational success, including but not limited to processing monthly/quarterly MEVs, managing billing and statement requirements, overseeing GIPS compliance, audits and controls, and resolving operational breakdowns. You will provide ongoing monitoring and analysis of operational activities and internal risk controls to drive improvements and enhancements across our organization.

Daily Trading Activities Management:
• Execute daily trading activities, including model updates and trade execution, to enhance the efficiency of client investment strategies within each line of business.
• Perform trade executions for equities, mutual funds, and fixed-income securities.
• Process and save all execution files and maintain restricted lists.

Reconciliation and Back-Office Settlements:
• Complete reconciliation for all manual and automated accounts according to the specified schedule.
• Ensure accurate back-office settlements, including client transactions and systems integrity.
• Process corporate actions related to client investments.

Collaboration and Issue Resolution:
• Collaborate with brokers, custodians, and platform sponsors to resolve any failed trades and transactions promptly.

Reporting and Analysis:
• Develop, analyze, and communicate reports related to daily cash levels, trading restrictions, and other customer account information.
• Monitor and report on new account openings, closures, and halted accounts.
• Track and report sales-related data to relevant stakeholders.

Qualifications:
• Five to seven years of experience in operations, accounting, or middle office roles within a Registered Investment Advisor (RIA) or Broker/Dealer setting.
• Demonstrated experience performing the job duties outlined in the position description.
• Demonstrated proficiency in data analysis and performance metrics and proven ability to diagnose problems quickly and accurately.
• Proven experience in software conversion processes, ensuring smooth transitions and minimal disruptions.
• Familiarity with financial software platforms such as Orion, Vestmark, and Security APL is preferred.
• A Bachelor’s degree is required for this role.
• The Series 65 license is required unless an applicant possesses exceptional experience and expertise in the field and is willing to obtain Series 65 in the first 180 days of employment.