Senior Operations Specialist (Financial Services)
Job Description
Location: Downtown Chicago 60604 or Schaumburg 60173 (2 offices)
Type: Direct Hire/Permanent Placement
The Senior Operations Specialist supports the day-to-day operational functions of the wealth management business, ensuring accurate transaction processing, account maintenance, and regulatory compliance. This role partners with advisors, custodial platforms, and internal teams to deliver a high-quality client experience while maintaining operational controls.
Responsibilities:
• Manage operational workflows including account openings, transfers, cash movements, trade support, and account maintenance
• Ensure transactions are processed accurately and in compliance with firm policies and regulatory standards
• Research and resolve operational issues, discrepancies, and escalations
• Support regulatory audits, branch inspections, and internal reviews
• Partner with internal departments on operational initiatives and process improvements
Qualifications:
• 5–10+ years of operations experience within Wealth Management, Brokerage, or Financial Services
• Strong knowledge of Client and SEC regulations, particularly in an Independent Broker/Dealer environment
• Excellent communication, organizational, and problem-solving skills
• Bachelor's degree preferred in Finance, Business, or related field
Required/Desired Licenses:
• Series 24 (or equivalent supervisory license required)
• SIE
• Series 7
• Series 63 or 66
