Investment Services Operations Specialist

Overview

Provides operational and administrative support functions for Navy Federal Financial Group's brokerage, digital, and insurance services. Acts as a "Principal" for assigned new accounts for NFIS and reviews/approves new accounts and trades for securities, digital investor, and insurance businesses. Focuses on processing, documentation, and compliance support under the guidance of senior staff. Ensure accuracy in account setup, document handling, and regulatory adherence while developing foundational expertise in securities operations.

Responsibilities

• Review, process, and approve account paperwork for investment services and digital investor for completeness and accuracy
• Support internal and external audits by gathering and organizing required documentation
• Respond to routine inquiries from internal staff and vendors regarding account status and documentation
• Maintain current knowledge of SEC, FINRA, and internal policies; escalate complex issues to senior staff
• Assist in tracking and filing securities and insurance records in compliance with regulatory standards
• Participate in team meetings and training sessions to build operational knowledge
• Monitor shared mailboxes, open ticket queues, coordinate responses to operational, compliance, technical, and data and analytics requests, and support timely resolution
• Collaborate with Client Relationship Managers and other internal stakeholders to resolve basic operational issues
• Compile statistical/historical data for group/division reports, audits and projects, distributes to management or third parties/auditors
• Contact members, Navy Federal staff and vendors to obtain additional information, initiate resolution of missing and/or incomplete document issues
• Educate Client Relationship Managers on systems, process and procedures, timelines and best practices related to securities and insurance documentation, filing and reporting
• Perform other related duties as assigned or appropriate
  

Qualifications

• 2+ years of experience in the financial services industry, preferably in Securities and Insurance, providing operational and/or administrative support
• Knowledge of Securities and Insurance, and application of broker/dealer operations methods, and procedures
• Working knowledge of SEC and FINRA regulations regarding the maintenance of securities records
• Upon selection for this position, the incumbent will be required to obtain FINRA Series 7 and 24, NASAA Series 65 or 66 (and 63 in states where required) registration and Life & Health Insurance License to be obtained within 120 days
• Experience using CRD & IARD databases to create/update registered securities employee records
• Ability to work independently and in a team environment
• Effective skill following, interpreting and applying relevant data/instructions to guidelines, procedures, practices and regulations
• Skill interacting with staff, management, vendors, members diplomatically & tactfully
• Skill to influence, negotiate & persuade to reach agreeable exchange & positive outcomes

• Effective verbal and written communication skills

  Desired

• Proficiency with database, imaging systems and word processing software
• Demonstrated ability to exercise initiative and judgment, and to work independently and as a team member

• FINRA Series 7 and 24, NASAA Series 65 or 66 (and 63 in states where required) registration and Life & Health Insurance License

  Hours:

• Monday - Friday 8:30 AM - 5:00 PM

Location:

• 820 Follin Lane, Vienna, VA 22180
• 9999 Willow Creek Road, San Diego, CA 92131
• 5550 Heritage Oaks Drive, Pensacola, FL 32526
  

About Us