696 Investment Operations jobs in the United States

Description
Investment Operations Analyst
Are you ready to launch or grow your financial services career in a fast-paced, dynamic environment? Our client, an alternative investment firm in the Twin Cities, is seeking a detail-oriented Investment Operations Analyst to join their team and make an impact in structured security products.
This role covers end-to-end responsibilities in the operational trade lifecycle, including data flow, trade confirmations, reconciliation, and monitoring. If you're a motivated self-starter with strong problem-solving and collaboration skills, this opportunity could be the perfect fit.
Key Responsibilities
+ Ensure accuracy in daily investment operational tasks, including reporting, trade settlements, and resolving trade breaks or fails.
+ Provide trade confirmation for structured security product trades and associated derivatives.
+ Conduct cash reconciliation, including handling lifecycle events such as monthly P& I payments.
+ Collaborate with internal and external stakeholders, including brokers, treasury, accounting, and traders, to resolve issues proactively.
+ Perform weekly and monthly reconciliations of investment positions and activity across holdings while investigating and resolving discrepancies.
+ Support ad-hoc analysis and assist in process improvement initiatives.
Qualifications
+ 0-3 years of experience in financial operations or a related role within financial services or a trading firm.
+ Bachelor's degree in Finance, Accounting, or a related field.
+ Advanced proficiency in Microsoft Excel; VBA knowledge is a plus.
+ Prior experience with structured securities products is advantageous.
+ Strong written and verbal communication skills, with an ability to manage competing priorities effectively.
+ Highly collaborative mindset with strong interpersonal skills and the ability to thrive under pressure.
Why Apply?
This is a unique opportunity to make an immediate impact, contribute to operational excellence, and work within an environment that appreciates initiative and fosters professional development.
Take the next step in your career journey! Contact Douglas Rickart at , connect with him on LinkedIn, or click apply now to express your interest today!
Requirements - Proven experience in Investment Operations
- Proficiency in Cash Reconciliations
- Experience in conducting Daily Reconciliation
- Knowledge of Alternative Investments
- Familiarity with Asset Backed Securities
- Understanding of MBS - Mortgage-Backed Securities
- Experience with Prime Brokerage
- Proficiency in Excel VBA
- Advanced skills in Microsoft Excel
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All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.
© 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking "Apply Now," you're agreeing to Robert Half's Terms of Use ( .

You have a clear vision of where your career can go. And we have the leadership to help you get there. At CNA, we strive to create a culture in which people know they matter and are part of something important, ensuring the abilities of all employees are used to their fullest potential.

Under technical direction, performs economic/financial research and analysis for use in the development of business strategies and in subsequent appraisals Job Summary

The Senior Financial Analyst position is part of CNAs Investments, Treasury, Investor Relations and Rating Agencies Division. This division is responsible for managing the firm's bank relationships and cash management activities, as well as trade settlement, analysis, accounting and reporting for the firm's $40+ billion investment portfolio. This role offers an opportunity to collaborate across the division and with various business units outside of Investments & Treasury including our banking partners and asset managers in order to align strategic initiatives with daily activities.

JOB DESCRIPTION:

Essential Duties & Responsibilities may include:

• Perform trade settlement responsibilities for the firms $0+ billion investment portfolio. This includes but is not limited to utilizing Bloomberg and banking resources to monitor trade activity, investigate individual transactions, and resolve issues through communication with trading team, brokers, and custody bank personnel.

• Perform Statutory Deposit responsibilities which includes utilizing the accounting system to monitor and resolve state regulatory requirements through communication with internal teams and statutory bank personnel.

• Responsible for managing daily margin requirements for derivative products as well as monitoring and executing Bank Debt wires as needed.

• Responsible for ensuring resolution of voluntary corporate actions via daily monitoring of pending actions, coordinating with credit analysts, and providing appropriate instruction is executed.

• Perform other middle office investment responsibilities including monthly reconciliation of investment positions between custody and accounting records as well as application of third-party pricing.

• Participates in defining the issues and scope of assigned projects; suggests approach and methodology, and enhances analysis where applicable.

• Prepares and presents interpretations of findings for leadership within Investments & Treasury Division and broader corporate partners.

• Proactively investigate anomalies and variances in data.

• Interacts and coordinates with other departments to address business issues and meet organizational objectives.

• Lead or contribute to automation and efficiency projects

• Participates in Sarbanes-Oxley reviews as needed. Completes audit requests, as required.

Reporting Relationship

Manager or Above

Skills, Knowledge & Abilities

• Excellent organization, planning and time management skills. Proven ability to manage competing priorities and execute deliverables in a timely fashion.

• Act like an owner by taking pride in your work and acting with a sense of urgency.

• Strong analytical skills able to solve problems creatively by using your imagination, valuing diverse ideas, embracing change, and making processes as efficient as possible.

• Ability to foster and maintain collaborative relationships with external and internal customers, peers, and management.

• Good verbal and written communication and presentation skills.

• Technical knowledge of Institutional banking processes, documentation, applications and controls is a plus.

Education & Experience

• Bachelors Degree in finance, accounting, or related field

• Typically three to five years of related experience

#LI-MR1

#LI-HYBRID

In certain jurisdictions, CNA is legally required to include a reasonable estimate of the compensation for this role. In District of Columbia, California, Colorado, Connecticut, Illinois, Maryland, Massachusetts, New York and Washington, the national base pay range for this job level is 54,000 to 103,000 annually.Salary determinations are based on various factors, including but not limited to, relevant work experience, skills, certifications and location. CNA offers a comprehensive and competitive benefits package to help our employees and their family members achieve their physical, financial, emotional and social wellbeing goals. For a detailed look at CNAs benefits, please visitcnabenefits.com.

CNA is committed to providing reasonable accommodations to qualified individuals with disabilities in the recruitment process. To request an accommodation, please contact .

#J-18808-Ljbffr

Investment Operations Manager

The Investment Operations team at General Motors Asset Management operates within integrated, cross-functional groups to advance business, digital, and analytics transformation initiatives. This role is accountable for overseeing multiple investment projects aimed at enhancing and modernizing operational processes, which entails strategic planning and expertise in asset management. Proficiency in artificial intelligence and business intelligence platforms, such as PowerBI, is essential for optimizing functions and providing informed recommendations for operational enhancements. Core responsibilities include the management of investment operations and leadership of assigned investment projects. The position requires proactive engagement with General Motors Asset Management Operations and Investment leadership, collaboration across Controllers, IT, Enterprise Risk Management, Legal, and Compliance departments, and coordination with external investment managers, trustees, custodians, and administrators.

Responsibilities:

• Provide operational support to investment teams overseeing fixed income, equities, real estate, private equity, and hedge fund assets.
• Identify and implement process improvement projects, with attention to automation, pension management practices, and enhancing controls.
• Oversee ongoing investment and operational initiatives, acting as project manager to track deliverables, monitor progress, and escalate issues as required.
• Process investment-related activities, including account maintenance and the management of cash and asset transfers, as well as instructions sent to custodian banks or administrators.
• Prepare, update, and review cash flow statements for all clients and legal entities.
• Maintain and monitor both internal and external metrics associated with operational processes.
• Process, analyze, and review investment data relevant to operations, risk assessment, attribution analysis, and other core metrics.
• Support vendor management activities for external service providers.

Qualifications:

• A minimum of three years of experience in investment management, investment operations, management consulting, etc.
• Bachelor's degree in a quantitative discipline such as Finance, Economics, Software Engineering, Data Science, or a related field.
• Experience with business intelligence, analytics, data visualization, and/or process optimization. Proficiency with tools such as PowerBI, Tableau, or other analytics platforms is an asset.
• Demonstrates a strong interest in Artificial Intelligence and its application in streamlining tasks, automating operations, and delivering informed recommendations to teams.
• Advanced proficiency in Excel, including strong data analysis capabilities and experience with Python (preferred); meticulous attention to detail required.
• Outstanding written and verbal communication skills, with the ability to clearly synthesize data, formulate recommendations, and develop and deliver presentations.
• Demonstrated ability to work independently, handle multiple projects varying in scope and complexity, and thrive in ambiguous environments.
• Excellent organizational and project management skills, with a proven ability to adapt to shifting priorities and meet deadlines.
• Superior problem-solving and troubleshooting abilities, demonstrating sound judgment.
• Proven track record in identifying and implementing efficiency and process improvements.
• Solid understanding of business risk considerations and internal control frameworks.

Entrepreneurial mindset with a strong interest in asset management.

You have a clear vision of where your career can go. And we have the leadership to help you get there.At CNA, we strive to create a culture in which people know they matter and are part of something important, ensuring the abilities of all employees are used to their fullest potential.

Under technical direction, performs economic/financial research and analysis for use in the development of business strategies and in subsequent appraisals Job Summary

The Senior Financial Analyst position is part of CNAs Investments, Treasury, Investor Relations and Rating Agencies Division. This division is responsible for managing the firm's bank relationships and cash management activities, as well as trade settlement, analysis, accounting and reporting for the firm's $40+ billion investment portfolio. This role offers an opportunity to collaborate across the division and with various business units outside of Investments & Treasury including our banking partners and asset managers in order to align strategic initiatives with daily activities.

JOB DESCRIPTION:

Essential Duties & Responsibilities may include:

• Perform trade settlement responsibilities for the firms $0+ billion investment portfolio. This includes but is not limited to utilizing Bloomberg and banking resources to monitor trade activity, investigate individual transactions, and resolve issues through communication with trading team, brokers, and custody bank personnel.

• Perform Statutory Deposit responsibilities which includes utilizing the accounting system to monitor and resolve state regulatory requirements through communication with internal teams and statutory bank personnel.

• Responsible for managing daily margin requirements for derivative products as well as monitoring and executing Bank Debt wires as needed.

• Responsible for ensuring resolution of voluntary corporate actions via daily monitoring of pending actions, coordinating with credit analysts, and providing appropriate instruction is executed.

• Perform other middle office investment responsibilities including monthly reconciliation of investment positions between custody and accounting records as well as application of third-party pricing.

• Participates in defining the issues and scope of assigned projects; suggests approach and methodology, and enhances analysis where applicable.

• Prepares and presents interpretations of findings for leadership within Investments & Treasury Division and broader corporate partners.

• Proactively investigate anomalies and variances in data.

• Interacts and coordinates with other departments to address business issues and meet organizational objectives.

• Lead or contribute to automation and efficiency projects

• Participates in Sarbanes-Oxley reviews as needed. Completes audit requests, as required.

Reporting Relationship

Manager or Above

Skills, Knowledge & Abilities

• Excellent organization, planning and time management skills. Proven ability to manage competing priorities and execute deliverables in a timely fashion.

• Act like an owner by taking pride in your work and acting with a sense of urgency.

• Strong analytical skills able to solve problems creatively by using your imagination, valuing diverse ideas, embracing change, and making processes as efficient as possible.

• Ability to foster and maintain collaborative relationships with external and internal customers, peers, and management.

• Good verbal and written communication and presentation skills.

• Technical knowledge of Institutional banking processes, documentation, applications and controls is a plus.

Education & Experience

• Bachelors Degree in finance, accounting, or related field

• Typically three to five years of related experience

#LI-MR1

#LI-HYBRID

In certain jurisdictions, CNA is legally required to include a reasonable estimate of the compensation for this role. In District of Columbia,California, Colorado, Connecticut, Illinois , Maryland, Massachusetts , New York and Washington, the national base pay range for this job level is 54,000 to 103,000 annually.Salary determinations are based on various factors, including but not limited to, relevant work experience, skills, certifications and location. CNA offers a comprehensive and competitive benefits package to help our employees and their family members achieve their physical, financial, emotional and social wellbeing goals. For a detailed look at CNAs benefits, please visitcnabenefits.com.

CNA is committed to providing reasonable accommodations to qualified individuals with disabilities in the recruitment process. To request an accommodation, please

#J-18808-Ljbffr

**Job Description**
The Investment Operations team at General Motors Asset Management operates within integrated, cross-functional groups to advance business, digital, and analytics transformation initiatives. This role is accountable for overseeing multiple investment projects aimed at enhancing and modernizing operational processes, which entails strategic planning and expertise in asset management. Proficiency in artificial intelligence and business intelligence platforms, such as PowerBI, is essential for optimizing functions and providing informed recommendations for operational enhancements. Core responsibilities include the management of investment operations and leadership of assigned investment projects. The position requires proactive engagement with General Motors Asset Management Operations and Investment leadership, collaboration across Controllers, IT, Enterprise Risk Management, Legal, and Compliance departments, and coordination with external investment managers, trustees, custodians, and administrators.
**Responsibilities**
+ Provide operational support to investment teams overseeing fixed income, equities, real estate, private equity, and hedge fund assets.
+ Identify and implement process improvement projects, with attention to automation, pension management practices, and enhancing controls.
+ Oversee ongoing investment and operational initiatives, acting as project manager to track deliverables, monitor progress, and escalate issues as required.
+ Process investment-related activities, including account maintenance and the management of cash and asset transfers, as well as instructions sent to custodian banks or administrators.
+ Prepare, update, and review cash flow statements for all clients and legal entities.
+ Maintain and monitor both internal and external metrics associated with operational processes.
+ Process, analyze, and review investment data relevant to operations, risk assessment, attribution analysis, and other core metrics.
+ Support vendor management activities for external service providers.
**Qualifications**
+ A minimum of three years of experience in investment management, investment operations, management consulting, etc.
+ Bachelor's degree in a quantitative discipline such as Finance, Economics, Software Engineering, Data Science, or a related field.
+ Experience with business intelligence, analytics, data visualization, and/or process optimization. Proficiency with tools such as PowerBI, Tableau, or other analytics platforms is an asset.
+ Demonstrates a strong interest in Artificial Intelligence and its application in streamlining tasks, automating operations, and delivering informed recommendations to teams.
+ Advanced proficiency in Excel, including strong data analysis capabilities and experience with Python (preferred); meticulous attention to detail required.
+ Outstanding written and verbal communication skills, with the ability to clearly synthesize data, formulate recommendations, and develop and deliver presentations.
+ Demonstrated ability to work independently, handle multiple projects varying in scope and complexity, and thrive in ambiguous environments.
+ Excellent organizational and project management skills, with a proven ability to adapt to shifting priorities and meet deadlines.
+ Superior problem-solving and troubleshooting abilities, demonstrating sound judgment.
+ Proven track record in identifying and implementing efficiency and process improvements.
+ Solid understanding of business risk considerations and internal control frameworks.
Entrepreneurial mindset with a strong interest in asset management.
**Additional Job Description**
+ This role is categorized as hybrid. This means the successful candidate is expected to report to the New York GM Asset Management - Office New York GM Asset Management three times per week, at minimum (or other frequency dictated by the business) **Compensation:** The compensation information is a good faith estimate only. It is based on what a successful applicant might be paid in accordance with applicable state laws.The actual base salary a successful candidate will be offered within this range will vary based on factors relevant to the position, as well as geography of the selected candidate.
+ The salary range for this role is $85,100 - $135,900. The actual base salary a successful candidate will be offered within this range will vary based on factors relevant to the position.
+ Bonus Potential: An incentive pay program offers payouts based on company performance, job level, and individual performance.
+ Benefits: GM offers a variety of health and wellbeing benefit programs. Benefit options include medical, dental, vision, Health Savings Account, Flexible Spending Accounts, retirement savings plan, sickness and accident benefits, life insurance, paid vacation & holidays, tuition assistance programs, employee assistance program, GM vehicle discounts and more. **Relocation: This role is NOT eligible for relocation benefits** **Immigration:** **GM DOES NOT PROVIDE IMMIGRATION-RELATED SPONSORSHIP FOR THIS ROLE. DO NOT APPLY FOR THIS ROLE IF YOU WILL NEED GM IMMIGRATION SPONSORSHIP NOW OR IN THE FUTURE. THIS INCLUDES DIRECT COMPANY SPONSORSHIP, ENTRY OF GM AS THE IMMIGRATION EMPLOYER OF RECORD ON A GOVERNMENT FORM, AND ANY WORK AUTHORIZATION REQUIRING A WRITTEN SUBMISSION OR OTHER IMMIGRATION SUPPORT FROM THE COMPANY (e.g., H-1B, OPT, STEM OPT, CPT, TN, J-1, etc.)** #LI-MD1
**About GM**
Our vision is a world with Zero Crashes, Zero Emissions and Zero Congestion and we embrace the responsibility to lead the change that will make our world better, safer and more equitable for all.
**Why Join Us**
We believe we all must make a choice every day - individually and collectively - to drive meaningful change through our words, our deeds and our culture. Every day, we want every employee to feel they belong to one General Motors team.
**Benefits Overview**
From day one, we're looking out for your well-being-at work and at home-so you can focus on realizing your ambitions. Learn how GM supports a rewarding career that rewards you personally by visiting Total Rewards Resources ( .
**Non-Discrimination and Equal Employment Opportunities (U.S.)**
General Motors is committed to being a workplace that is not only free of unlawful discrimination, but one that genuinely fosters inclusion and belonging. We strongly believe that providing an inclusive workplace creates an environment in which our employees can thrive and develop better products for our customers.
All employment decisions are made on a non-discriminatory basis without regard to sex, race, color, national origin, citizenship status, religion, age, disability, pregnancy or maternity status, sexual orientation, gender identity, status as a veteran or protected veteran, or any other similarly protected status in accordance with federal, state and local laws.
We encourage interested candidates to review the key responsibilities and qualifications for each role and apply for any positions that match their skills and capabilities. Applicants in the recruitment process may be required, where applicable, to successfully complete a role-related assessment(s) and/or a pre-employment screening prior to beginning employment. To learn more, visit How we Hire ( .
**Accommodations**
General Motors offers opportunities to all job seekers including individuals with disabilities. If you need a reasonable accommodation to assist with your job search or application for employment, email ( ) us or call us at . In your email, please include a description of the specific accommodation you are requesting as well as the job title and requisition number of the position for which you are applying.
We are leading the change to make our world better, safer and more equitable for all through our actions and how we behave. Learn more about:
**Our Company ( Culture**
**How we hire ( diverse team of employees bring their collective passion for engineering, technology and design to deliver on our vision of a world with Zero Crashes, Zero Emissions and Zero Congestion. We are looking for adventure-seekers and imaginative thought leaders to help us transform mobility.
Explore our global locations ( policy of General Motors is to extend opportunities to qualified applicants and employees on an equal basis regardless of an individual's age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity/expression or veteran status. Additionally, General Motors is committed to being an Equal Employment Opportunity Employer and offers opportunities to all job seekers including individuals with disabilities. If you need a reasonable accommodation to assist with your job search or application for employment, email us at .In your email, please include a description of the specific accommodation you are requesting as well as the job title and requisition number of the position for which you are applying.

Description
Citizens Private Bank has accelerated its strategy to build out Wealth Management, scale Business Banking, grow deposits, and expand in key growth markets. We are looking for talented individuals with a demonstrated track record of delivering a gold glove experience to clients that results in long-term client loyalty. Citizens Private Wealth presently manages and advises on over $20 Billion in assets, offering a wide scope of services, expertise, and research, while intimately focusing on each client's unique circumstances.
The Investment Operations Sr. Manager will be responsible for effective and efficient oversight of several operational teams, key technology used by our business, issue-resolution, effective and well documented procedures, risk management and mitigation, maintaining an effective SharePoint site and knowledgebase of our business and oversight of special projects as assigned. The scope of responsibility will include Middle Office Operations and Business Support for Private Wealth Fiduciary (Omnibus) and RIA (Fully Disclosed) business.
Primary responsibilities include
+ Responsible for leading a team of professionals that run our back-office operations which includes daily processing of our business, technology support, reporting, issue resolution, process improvement and documentation.
+ Responsible for accurate processing of our daily business which includes, but ot limited to, money/asset movement, account opening, closing and maintenance, settlements, fee processing, etc.
+ Partner with Sr. Leaders and Risk to lead the preparation activities and information gathering for all exams and audits
+ Develop adequate action plans to address and effectively solve for any issues and lead the execution of those plans efficiently and timely
+ Ensure proactive ongoing assessment of our operational risk environment
+ Develop and implement strategies to mitigate risk and establish effective controls where needed
+ Effective oversight of key vendors who provide technology or services to our core operations, this includes monitoring service levels, remaining in regular contact with vendor points, addressing issues quickly and accurately and continuously implementing process improvements
+ Ensure timely and accurate response and resolution to colleague inquiries regarding technology, issues, functionality, etc.
+ Co-ordinate all business testing and documentation of testing results
+ Identify trends and implement new processes, reporting, training, etc. to address unfavorable trends
+ Support implementation and ongoing maintenance activities related to vendor services and technology solutions
+ Oversight of the accurate and timely production of internal, client and regulatory reporting
+ Lead the development and implementation of new reports and information/data reconciliations as needs arise
+ Responsible for all procedures, forms, disclosures, guides and materials. This includes ensuring there is an adequate annual review implemented for all documentation, timely development of new documentation as needed and ongoing process improvement of our operating procedures
+ Responsible for maintaining an effective and up to date SharePoint site, which includes ensuring content is easy to find and continuously up to date
+ Responsible for maintaining an accurate inventory of all business content (e.g., procedures, forms, disclosures, training material, guides, marketing material, etc.)
+ Develop procedures and training plans as new processes, products and services are deployed
+ Be a role model and champion for continuous process improvement and organizational effectiveness
+ Effective people leadership and development, including there is adequate coverage for all core responsibilities and ongoing cross training
Qualifications, Education, Certifications and/or Other Professional Credentials
Required Qualifications
+ 5+ years of experience in operations management, preferably in financial services or a regulated industry
+ 3+ years of leadership experience, including managing teams and cross-functional collaboration
+ 3+years of experience with administration of Black Diamond
+ Proven experience in back-office operations, including account processing, settlements, and fee processing
+ Strong understanding of operational risk management and internal control frameworks
+ Demonstrated ability to develop and implement process improvements
+ Experience managing vendor relationships, including performance monitoring and issue resolution
+ Proficiency in reporting and data analysis, with the ability to identify trends and develop actionable insights
+ Excellent written and verbal communication skills, including documentation and training development
+ Strong project management and organizational skills, with the ability to manage multiple priorities
+ Proficiency in Microsoft Office Suite, especially Excel and SharePoint
Preferred Qualifications
+ Bachelor's degree in business administration, Finance, Operations Management, or a related field
+ Advanced degree (MBA or related field)
+ Experience with regulatory exams and audits, including preparation and response
+ Familiarity with financial technology platforms and tools used in operations and reporting
+ Experience in developing and maintaining SharePoint sites
+ Knowledge of compliance and regulatory reporting requirements
+ Experience with business continuity planning and testing coordination
+ Lean Six Sigma or other process improvement certification
+ Experience in training development and cross-training programs
+ The preferred candidate would possess the following competencies: leadership & people management, operational excellence, technical & analytical proficiency, regulatory & compliance acumen, communication & collaboration, and project & program management.
Hours & Work Schedule
+ Hours per Week: 40
+ Work Schedule: M-F
Pay Transparency
The salary range for this position is $40,000 - 165,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is
based on various factors including but not limited to the work location, and relevant skills and experience. We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens' paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.
Equal Employment Opportunity
Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague's or a dependent's reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.
Why Work for Us
At Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth
Background Check
Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

Description
Citizens Private Bank has accelerated its strategy to build out Wealth Management, scale Business Banking, grow deposits, and expand in key growth markets. We are looking for talented individuals with a demonstrated track record of delivering a gold glove experience to clients that results in long-term client loyalty. Citizens Private Wealth presently manages and advises on over $20 Billion in assets, offering a wide scope of services, expertise, and research, while intimately focusing on each client's unique circumstances.
The Investment Operations Sr. Manager will be responsible for effective and efficient oversight of several operational teams, key technology used by our business, issue-resolution, effective and well documented procedures, risk management and mitigation, maintaining an effective SharePoint site and knowledgebase of our business and oversight of special projects as assigned. The scope of responsibility will include Middle Office Operations and Business Support for Private Wealth Fiduciary (Omnibus) and RIA (Fully Disclosed) business.
Primary responsibilities include
+ Responsible for leading a team of professionals that run our back-office operations which includes daily processing of our business, technology support, reporting, issue resolution, process improvement and documentation.
+ Responsible for accurate processing of our daily business which includes, but ot limited to, money/asset movement, account opening, closing and maintenance, settlements, fee processing, etc.
+ Partner with Sr. Leaders and Risk to lead the preparation activities and information gathering for all exams and audits
+ Develop adequate action plans to address and effectively solve for any issues and lead the execution of those plans efficiently and timely
+ Ensure proactive ongoing assessment of our operational risk environment
+ Develop and implement strategies to mitigate risk and establish effective controls where needed
+ Effective oversight of key vendors who provide technology or services to our core operations, this includes monitoring service levels, remaining in regular contact with vendor points, addressing issues quickly and accurately and continuously implementing process improvements
+ Ensure timely and accurate response and resolution to colleague inquiries regarding technology, issues, functionality, etc.
+ Co-ordinate all business testing and documentation of testing results
+ Identify trends and implement new processes, reporting, training, etc. to address unfavorable trends
+ Support implementation and ongoing maintenance activities related to vendor services and technology solutions
+ Oversight of the accurate and timely production of internal, client and regulatory reporting
+ Lead the development and implementation of new reports and information/data reconciliations as needs arise
+ Responsible for all procedures, forms, disclosures, guides and materials. This includes ensuring there is an adequate annual review implemented for all documentation, timely development of new documentation as needed and ongoing process improvement of our operating procedures
+ Responsible for maintaining an effective and up to date SharePoint site, which includes ensuring content is easy to find and continuously up to date
+ Responsible for maintaining an accurate inventory of all business content (e.g., procedures, forms, disclosures, training material, guides, marketing material, etc.)
+ Develop procedures and training plans as new processes, products and services are deployed
+ Be a role model and champion for continuous process improvement and organizational effectiveness
+ Effective people leadership and development, including there is adequate coverage for all core responsibilities and ongoing cross training
Qualifications, Education, Certifications and/or Other Professional Credentials
Required Qualifications
+ 5+ years of experience in operations management, preferably in financial services or a regulated industry
+ 3+ years of leadership experience, including managing teams and cross-functional collaboration
+ 3+years of experience with administration of Black Diamond
+ Proven experience in back-office operations, including account processing, settlements, and fee processing
+ Strong understanding of operational risk management and internal control frameworks
+ Demonstrated ability to develop and implement process improvements
+ Experience managing vendor relationships, including performance monitoring and issue resolution
+ Proficiency in reporting and data analysis, with the ability to identify trends and develop actionable insights
+ Excellent written and verbal communication skills, including documentation and training development
+ Strong project management and organizational skills, with the ability to manage multiple priorities
+ Proficiency in Microsoft Office Suite, especially Excel and SharePoint
Preferred Qualifications
+ Bachelor's degree in business administration, Finance, Operations Management, or a related field
+ Advanced degree (MBA or related field)
+ Experience with regulatory exams and audits, including preparation and response
+ Familiarity with financial technology platforms and tools used in operations and reporting
+ Experience in developing and maintaining SharePoint sites
+ Knowledge of compliance and regulatory reporting requirements
+ Experience with business continuity planning and testing coordination
+ Lean Six Sigma or other process improvement certification
+ Experience in training development and cross-training programs
+ The preferred candidate would possess the following competencies: leadership & people management, operational excellence, technical & analytical proficiency, regulatory & compliance acumen, communication & collaboration, and project & program management.
Hours & Work Schedule
+ Hours per Week: 40
+ Work Schedule: M-F
Pay Transparency
The salary range for this position is $40,000 - 165,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is
based on various factors including but not limited to the work location, and relevant skills and experience. We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens' paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.
Equal Employment Opportunity
Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague's or a dependent's reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.
Why Work for Us
At Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth
Background Check
Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

Description
Citizens Private Bank has accelerated its strategy to build out Wealth Management, scale Business Banking, grow deposits, and expand in key growth markets. We are looking for talented individuals with a demonstrated track record of delivering a gold glove experience to clients that results in long-term client loyalty. Citizens Private Wealth presently manages and advises on over $20 Billion in assets, offering a wide scope of services, expertise, and research, while intimately focusing on each client's unique circumstances.
The Investment Operations Sr. Manager will be responsible for effective and efficient oversight of several operational teams, key technology used by our business, issue-resolution, effective and well documented procedures, risk management and mitigation, maintaining an effective SharePoint site and knowledgebase of our business and oversight of special projects as assigned. The scope of responsibility will include Middle Office Operations and Business Support for Private Wealth Fiduciary (Omnibus) and RIA (Fully Disclosed) business.
Primary responsibilities include
+ Responsible for leading a team of professionals that run our back-office operations which includes daily processing of our business, technology support, reporting, issue resolution, process improvement and documentation.
+ Responsible for accurate processing of our daily business which includes, but ot limited to, money/asset movement, account opening, closing and maintenance, settlements, fee processing, etc.
+ Partner with Sr. Leaders and Risk to lead the preparation activities and information gathering for all exams and audits
+ Develop adequate action plans to address and effectively solve for any issues and lead the execution of those plans efficiently and timely
+ Ensure proactive ongoing assessment of our operational risk environment
+ Develop and implement strategies to mitigate risk and establish effective controls where needed
+ Effective oversight of key vendors who provide technology or services to our core operations, this includes monitoring service levels, remaining in regular contact with vendor points, addressing issues quickly and accurately and continuously implementing process improvements
+ Ensure timely and accurate response and resolution to colleague inquiries regarding technology, issues, functionality, etc.
+ Co-ordinate all business testing and documentation of testing results
+ Identify trends and implement new processes, reporting, training, etc. to address unfavorable trends
+ Support implementation and ongoing maintenance activities related to vendor services and technology solutions
+ Oversight of the accurate and timely production of internal, client and regulatory reporting
+ Lead the development and implementation of new reports and information/data reconciliations as needs arise
+ Responsible for all procedures, forms, disclosures, guides and materials. This includes ensuring there is an adequate annual review implemented for all documentation, timely development of new documentation as needed and ongoing process improvement of our operating procedures
+ Responsible for maintaining an effective and up to date SharePoint site, which includes ensuring content is easy to find and continuously up to date
+ Responsible for maintaining an accurate inventory of all business content (e.g., procedures, forms, disclosures, training material, guides, marketing material, etc.)
+ Develop procedures and training plans as new processes, products and services are deployed
+ Be a role model and champion for continuous process improvement and organizational effectiveness
+ Effective people leadership and development, including there is adequate coverage for all core responsibilities and ongoing cross training
Qualifications, Education, Certifications and/or Other Professional Credentials
Required Qualifications
+ 5+ years of experience in operations management, preferably in financial services or a regulated industry
+ 3+ years of leadership experience, including managing teams and cross-functional collaboration
+ 3+years of experience with administration of Black Diamond
+ Proven experience in back-office operations, including account processing, settlements, and fee processing
+ Strong understanding of operational risk management and internal control frameworks
+ Demonstrated ability to develop and implement process improvements
+ Experience managing vendor relationships, including performance monitoring and issue resolution
+ Proficiency in reporting and data analysis, with the ability to identify trends and develop actionable insights
+ Excellent written and verbal communication skills, including documentation and training development
+ Strong project management and organizational skills, with the ability to manage multiple priorities
+ Proficiency in Microsoft Office Suite, especially Excel and SharePoint
Preferred Qualifications
+ Bachelor's degree in business administration, Finance, Operations Management, or a related field
+ Advanced degree (MBA or related field)
+ Experience with regulatory exams and audits, including preparation and response
+ Familiarity with financial technology platforms and tools used in operations and reporting
+ Experience in developing and maintaining SharePoint sites
+ Knowledge of compliance and regulatory reporting requirements
+ Experience with business continuity planning and testing coordination
+ Lean Six Sigma or other process improvement certification
+ Experience in training development and cross-training programs
+ The preferred candidate would possess the following competencies: leadership & people management, operational excellence, technical & analytical proficiency, regulatory & compliance acumen, communication & collaboration, and project & program management.
Hours & Work Schedule
+ Hours per Week: 40
+ Work Schedule: M-F
Pay Transparency
The salary range for this position is $40,000 - 165,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is
based on various factors including but not limited to the work location, and relevant skills and experience. We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens' paid time off policy exceeds the mandatory, paid sick or paid time-away policy of every local and state jurisdiction in the United States. For an overview of our benefits, visit job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.
Equal Employment Opportunity
Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression, genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague's or a dependent's reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws. At Citizens, we are committed to fostering an inclusive culture that enables all colleagues to bring their best selves to work every day and everyone is expected to be treated with respect and professionalism. Employment decisions are based solely on merit, qualifications, performance and capability.
Why Work for Us
At Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth
Background Check
Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
**About this role:**
Wells Fargo is seeking an Institutional Investment Operations Associate within our Client Data and Onboarding team as part of our Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at wellsfargojobs.com.
The Wells Fargo CIB Client Data and Onboarding organization consists of a Client Facilitation team, AML/KYC team, and a Client Data & Account Maintenance team. The Client Facilitation team will liaise with external and internal customers to comply with all operational, compliance, regulatory and internal policies as part of the client onboarding process. This function will be responsible for shaping the vision for the future state process and technology requirements. The current Client Onboarding process is initiated through various teams across the organization and is managed in the US. This role is meant to be strategic in influencing how the centralized team will function and perform in the future. The aim is to have a centralized team with regional representation to support growing business in London and Asia. This initiative is accompanied by a major effort to redesign current operational functions as well as to create a unified workflow tool to provide transparency, accountability, KPI's and metrics.
**In this role, you will:**
+ Deliver high standards of client service while ensuring all internal risk and external compliance standards and requirements are fully met
+ Gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources
+ Initiate client onboarding processes by entering data into client onboarding system and sharing documents with internal teams such as Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal and Compliance
+ Track progress and provide status of onboarding requests to the request initiator
+ Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the product/business supported
+ Maintain all WF internal control standards, implement new controls and address any internal or external audit points raised
+ Understand operations risk scenarios associated with the role and adhere to all policies
**Required Qualifications:**
+ 6+ months of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, or education
**Desired Qualifications:**
+ Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations
+ Account management experience
+ Brokerage operations experience
+ BSA/AML experience
+ Sound customer service background
+ Data analysis experience
+ Understanding of BSA/AML/OFAC laws and regulations
+ Financial industry experience
+ Operations experience
+ Process definition, documentation, design and improvement experience
+ Risk and regulatory compliance background
**Primary Posting Location:**
+ 550 S. Tryon Street, Charlotte, North Carolina 28202
**Job Expectations:**
+ Ability to work on-site in stated location in compliance with our hybrid schedule
+ This position is not eligible for Visa sponsorship
**Corporate & Investment Banking** delivers a comprehensive suite of capital markets, banking, and financial products and services. A trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
**Posting End Date:**
29 Aug 2025
**_*Job posting may come down early due to volume of applicants._**
**We Value Equal Opportunity**
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
**Applicants with Disabilities**
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo ( .
**Drug and Alcohol Policy**
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy ( to learn more.
**Wells Fargo Recruitment and Hiring Requirements:**
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
**Req Number:** R-478224