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MTO Financial Services

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Investment Operations Associate

Stony Brook, NY · On-site

$60K - $80K/yr

Role Description The Investment Operations Associate will support investment reporting, client service, portfolio administration, trading support, and back-office operations for RIAs and wealth ...

OneWell

Investment Operations Associate

Princeton, NJ · On-site

$90K - $110K/yr

We are hiring an Investment Operations Associate to own the day-to-day execution of our back and middle office functions, partnering closely with the Director of Operations. In this role you will be ...

OneWell

Investment Operations Associate

Princeton, NJ · On-site

We are hiring an Investment Operations Associate to own the day-to-day execution of our back and middle office functions, partnering closely with the Director of Operations. In this role you will be ...

Range

Investment Operations Associate

New York, NY · On-site

... Associate to Specialist to Lead is measured by how many of them you can run independently and, eventually, teach to someone else. You'll report to the Head of Investment Operations on a small team ...

IntePros

Investment Operations Associate

Pittsburgh, PA · On-site

Investment Operations Analyst Pittsburgh, PA (Hybrid) | Contract-to-Hire Intepros is seeking an Investment Operations Analyst to join our client in a collaborative private markets team supporting ...

New

AngelList

Investment Operations Associate

New York, NY · On-site

$150K/yr

This is a rare opportunity to reshape how the public invests in innovation. You'll come in at the ground level to help build a world-class operations function at the forefront of venture and fintech ...

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Investment Operations Associate information

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$22K

$97.1K

$213.5K

How much do investment operations associate jobs pay per year?

As of Sep 2, 2026, the average yearly pay for investment operations associate in the United States is $97,073.00, according to ZipRecruiter salary data. Most workers in this role earn between $65,000.00 and $117,500.00 per year, depending on experience, location, and employer.

What is an investment operations associate?

An Investment Operations Associate supports the daily operational processes of an investment firm, ensuring trades, settlements, and reconciliations run smoothly. They work closely with portfolio managers, traders, and custodians to manage financial transactions, mitigate risks, and maintain accurate records. This role requires strong analytical skills, attention to detail, and knowledge of financial instruments. It is essential for maintaining the efficiency and integrity of investment operations.

What are the typical daily responsibilities of an investment operations associate?

As an Investment Operations Associate, your typical day involves processing trade settlements, reconciling investment accounts, maintaining transaction records, and ensuring operational compliance with regulatory requirements. You may also coordinate with portfolio managers, custodians, and third-party vendors to resolve discrepancies or execute instructions. Attention to detail and the ability to juggle multiple tasks are essential, as you’ll often manage time-sensitive processes. This role provides valuable exposure to the inner workings of investment management and can serve as a strong foundation for future advancement in finance or operations.

What are the key skills and qualifications needed to thrive in the investment operations associate position, and why are they important?

To thrive as an Investment Operations Associate, you need strong analytical skills, attention to detail, and a foundational understanding of financial markets or investment management, typically supported by a bachelor’s degree in finance, economics, or a related field. Familiarity with portfolio management systems, trade settlement software, and Excel, as well as certifications like CFA Level I, can be advantageous. Effective communication, organizational abilities, and problem-solving skills help individuals excel within cross-functional teams. These capabilities are crucial for ensuring the accuracy, efficiency, and compliance of daily investment operations in a fast-paced environment.

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Investment Operations Associate jobs near you
Infographic showing various Investment Operations Associate job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $97,073 per year, or $46.7 per hour.

Investment Operations Associate

Northwestern Mutual

Birmingham, AL • On-site

Other

Retirement, PTO

Posted 2 days ago

New

Northwestern Mutual rating

8.0

Company rating: 8.0 out of 10

Based on 76 frontline employees who took The Breakroom Quiz

170th of 315 rated insurance

Job description

Position Summary

Northwestern Mutual of Alabama is seeking a detail-oriented, service-driven Investment Operations Associate. This role serves as a key operational partner to our Registered Representatives, ensuring the accurate and timely processing of investment-related transactions and account maintenance activities.


The Investment Operations Associate will be primarily responsible for opening new investment accounts, processing deposits and withdrawals, maintaining account records, and executing trades based on the direction of Registered Representatives. The ideal candidate is highly organized, thrives in a fast-paced environment, and possesses a strong commitment to operational excellence and service.


Individuals who are not currently securities licensed will be expected to obtain their SIE, Series 6 or Series 7, and Series 63 within one year of employment, with licensing support and compensation provided by the firm.


Key Responsibilities

Investment Operations & Account Management

  • Facilitate new brokerage and advisory account openings
  • Process account transfers, deposits, withdrawals, and other money movement requests.
  • Execute trades and investment transactions as directed by Registered Representatives.
  • Maintain account information, beneficiary designations, banking instructions, and other client records.
  • Process account updates and service requests in a timely and accurate manner.
  • Monitor pending transactions and follow through to completion.


Advisor Support

  • Serve as the primary operational resource for Registered Representatives across Alabama.
  • Coordinate with Northwestern Mutual home office teams and custodial partners to resolve operational issues.
  • Support meeting preparation by gathering account and client information as needed
  • Maintain complete and accurate electronic client files.
  • Document processing history and maintain detailed records of client and advisor requests.
  • Assist with regulatory audits, compliance reviews, and operational reporting.
  • What Success in this Role Looks Like
  • Consistently accurate and timely processing of advisor requests.
  • Strong advisor satisfaction and trust in operational support for Registered Representatives.
  • Reduced cycle times across investment workflows
  • Proactive identification and resolution of issues


Qualifications Required

  • Strong organizational skills and attention to detail.
  • Excellent written and verbal communication skills.
  • Ability to manage multiple priorities in a deadline-driven environment.
  • Proficiency with Microsoft Office Suite and financial technology platforms.
  • Ability to work collaboratively within a team environment.


Preferred

  • Associate's or Bachelor's degree
  • Previous experience in investment operations, financial services, banking, brokerage, or wealth management.
  • Experience processing investment account paperwork and transactions.
  • Understanding of brokerage and advisory account structures.
  • Experience working with financial advisors or Registered Representatives.


Professional Development & Licensing

Northwestern Mutual of Alabama is committed to the growth and development of its team members.

  • Candidates who are not currently registered will be expected to obtain the appropriate FINRA registrations (SIE, Series 6 or 7, and Series 63) within their first year of employment.

o Licensing examination costs, study resources, and support will be provided by the firm.

o Successful completion of required registrations may result in additional compensation and expanded responsibilities.


Compensation & Benefits

Northwestern Mutual of Alabama offers:

  • Competitive base salary based on experience and qualifications
  • Licensing and professional development support
  • Retirement and benefits package
  • Paid time off and holidays
  • Career advancement opportunities within the firm

What Northwestern Mutual employees say

Pay

Benefits

Hours and flexibility

Workplace

Get the full story on Breakroom

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About Northwestern Mutual

Sourced by ZipRecruiter

Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years through a distinctive planning approach that integrates risk management with wealth accumulation, preservation, and distribution. With more than $290 billion in assets, $30 billion in revenues and more than $1.9 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than 4.6 million clients. People are the power behind Northwestern Mutual, and diversity makes us better. We are committed to reflecting and serving the marketplace. We do so by attracting and improving the engagement of those who bring their outstanding perspectives, ideas, and beliefs.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Milwaukee, WI, US

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