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Senior Investment Operations Associate Jobs in New York

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 ...

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 ...

AngelList

Investment Operations Associate

New York, NY

$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 ...

InforCapital

Senior Investment Associate

Manhattan, NY · On-site

$180 - $230/hr

The firm is hiring a Senior Investment Associate to join its small investment team and report ... Operations, and Technology teams**Qualifications**- Minimum of 6-10 years of relevant investment ...

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Senior Investment Operations Associate information

What are the primary responsibilities of a senior investment operations associate?

A Senior Investment Operations Associate oversees and manages the daily operational processes related to investment portfolios, such as trade settlements, reconciliations, and reporting. They ensure accuracy in transaction processing, monitor compliance with regulatory standards, and work closely with portfolio managers, custodians, and other stakeholders. Additionally, they may help implement process improvements, resolve discrepancies, and support audit and risk management activities within the investment operations team.

What are the key skills and qualifications needed to thrive as a senior investment operations associate?

To excel as a Senior Investment Operations Associate, you need a solid background in finance or accounting, strong analytical skills, and several years of experience in investment operations. Familiarity with portfolio management systems, trade settlement platforms, and industry regulations like SEC and FINRA is typically required, along with proficiency in Excel or similar data analysis tools. Attention to detail, problem-solving abilities, and effective communication are vital soft skills for managing complex transactions and collaborating with internal and external stakeholders. These competencies ensure accurate trade processing, regulatory compliance, and smooth investment operations, which are critical for minimizing risk and supporting business objectives.

How does a senior investment operations associate typically collaborate with portfolio managers and compliance teams?

As a Senior Investment Operations Associate, you'll play a crucial liaison role between portfolio managers and compliance teams. You'll facilitate timely settlement of trades, ensure accurate portfolio accounting, and help implement compliance checks to adhere to regulatory standards. Regular communication with portfolio managers is essential to resolve discrepancies, while you’ll work closely with compliance teams to address any potential operational risks. This collaborative environment ensures seamless investment operations and minimizes errors across the investment lifecycle.

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Senior Investment Operations Associate jobs near you
Infographic showing various Senior Investment Operations Associate job openings in New York as of June 2026, with employment types broken down into 70% Full Time, 27% Part Time, 1% Temporary, 1% Contract, and 1% Nights. Highlights an 87% Physical, 4% Hybrid, and 9% Remote job distribution.

Investment Operations Associate

Northwestern Mutual

Manhattan, NY • On-site

$65K - $75K/yr

Full-time

Posted 13 days ago

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

The Investment Services Associate is a key member of the Portfolio Management and Investments Operations teams supporting areas including trade processes, data management, client reporting, portfolio management functions and oversight of Investment Policy violations. This position requires strong analytical skills, attention to detail, a positive professional attitude, and ability to work in a team environment.
Responsibilities
  • Process or collaborate to open/fund investment accounts and investment service requests such as funds disbursements, account transfers and trade correction requests.
  • Manage account maintenance and service requests including funds disbursements, account transfers.
  • Respond to registered representative administrative requests.
  • Process trade correction requests per approval from Agency Supervisor/Senior Investment Operations Associate.
  • Act as Liaison for FR NMIS needs, client service access, mutual fund access, and troubleshoot paperwork that is lost or processed incorrectly.
  • Compile meeting kits which include all materials needed for the approach, close, and delivery.
  • Conduct weekly status reports/summary of Financial Representatives supported.
  • Keeping appropriate notes of trade activity and handling other assigned administrative duties.
  • Interfacing with research departments, investment operations, and financial advisors.
  • Assisting the research department and investment operations when the market is closed.
  • Executing strategic asset allocation and/or investment changes.
  • Staying up to date on accounting and financial.
  • Providing administrative coordination with trading, operations, client service.
  • Overseeing Investment Policy Violations and keeping portfolios within allowable variance.
  • Processing trade corrections for both brokerage and advisory, if necessary.

Qualifications
  • Bachelor's degree or equivalent.
  • Strong interpersonal skills and a self-motivated.
  • 1-3 years working experience.
  • SIE and Series 7 preferred (or willing to obtain within 90-days).
  • Proficient in Microsoft Suite Programs (Excel, Word, Outlook, PowerPoint).

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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