Invest Operations Specialist

Ally - Raleigh, NC

Full-time - Entry Level

Onsite - Raleigh, NC

Printing and Related Support Activities

About the position

The Operations Specialist at Ally Financial plays a crucial role in ensuring the smooth functioning of operations within a fast-paced, high-pressure securities market environment. This position requires excellent organizational skills and the ability to multitask effectively. The Operations Specialist will be responsible for various functions that support both the firm's staff and clients, including cashiering, funds movement, and managing new accounts. A significant aspect of this role involves serving as the final processor for high-risk matters, such as asset and money movement requests, as well as conducting thorough reporting reviews. The candidate will be expected to maintain accurate record-keeping to ensure compliance with established guidelines and will work closely with the Compliance department on special projects and client complaint issues. In this role, the Operations Specialist will perform a variety of operational functions following pre-established procedures. They will ensure that all records are accurate and up-to-date, which is essential for maintaining compliance within the firm. The candidate will be responsible for fielding and responding to client inquiries via phone, email, and fax, providing the highest level of customer service and integrity. Identifying potential operational risks or inefficiencies and recommending improvements will also be part of the job. The Operations Specialist will assist in streamlining operational processes, documenting process flows, and communicating proposed updates to leadership. Additionally, they will prioritize multiple functions based on the needs of clients and the firm, while also managing ad hoc high-level projects alongside their daily responsibilities. The role requires the ability to work independently with minimal supervision, understanding when to escalate matters and seek assistance. The Operations Specialist will also assist in training and onboarding new Operations Associates, ensuring they are well-versed in processes such as asset and money movement requests, customer identification programs, and new account openings. This position is integral to the operations team and requires a proactive approach to problem-solving and client service.

Responsibilities

• Perform a variety of operations functions following pre-established procedures.
• Ensure accurate record keeping to maintain compliance.
• Field and respond to client inquiries via phone, email, and fax with high customer service standards.
• Identify potential operational risks or inefficiencies and recommend improvements.
• Assist in streamlining operation processes and documenting process flows.
• Efficiently complete daily responsibilities ensuring client information is updated and correct.
• Prioritize multiple functions based on client and firm needs.
• Assist with ad hoc high-level projects while maintaining typical day-to-day responsibilities.
• Serve as subject matter expert for various brokerage back office functions and processes.
• Assist with training and onboarding of new Operations Associates.

Requirements

• 1+ years of financial services industry experience required.
• FINRA Series 7 and 63 licenses are required; Series 24 preferred.
• Bachelor's Degree in Finance, Economics, or Business preferred.
• Solid understanding of financial, brokerage, and trading services industry or equivalent operations processing knowledge.
• Ability to work well with others, multi-task, and handle issues under time constraints.
• Ability to work in a high-pressure environment with strict SLAs and deadlines.
• Results-oriented with good organizational skills, attention to detail, and accuracy.
• Excellent oral and written communication skills with a strong desire to provide exceptional customer experience.
• Demonstrated experience in handling client concerns with tact and diplomacy.
• Ability to exercise independent thought and judgment and adapt to new tasks quickly.
• Proficient in Microsoft Office (Word, Outlook, Excel).
• Ability to manage multiple spreadsheets and computer systems simultaneously.

Nice-to-haves

• Knowledge of or experience working in financial services and/or other regulated environments is a plus.
• Ability to learn quickly and adapt to various internal trading systems.

Benefits

• Competitive holiday and flexible paid-time-off, including time off for volunteering and voting.
• Industry-leading 401K retirement savings plan with matching and company contributions.
• Student loan and 529 educational assistance programs.
• Tuition reimbursement and other financial well-being programs.
• Flexible health and insurance options including dental and vision.
• Pre-tax Health Savings Account with employer contributions.
• Total well-being program to support physical, social, emotional, and financial health.
• Adoption, surrogacy, and fertility support.
• Parental and caregiver leave, backup child and adult/elder daycare program, and childcare discounts.
• Employee Assistance Program and subsidized Weight Watchers® program.