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Senior Investment Operations Associate Jobs in Rhode Island

Allstate

... routine operations. The teamoperatesas a nimble, high-impact group, quickly adapting to new ... Partner directly with portfolio managers, analysts, and senior leaders toidentifyworkflow gaps and ...

Berkshire Bank

Investment Sales Associate

Providence, RI · On-site

$52K - $90K/yr

The Investment Sales Associate supports financial advisors in delivering exceptional client service ... Support financial advisors with daily sales and operational activities * Process client ...

Allstate

This role partners closely with the Investments Chief Compliance Officer and senior leaders across Legal, Risk, Operations, and the Investments business unit to help ensure the firm maintains a ...

Allstate

We're seeking a detail-oriented and highly collaborative Senior Consultant, CLO Reporting ... In this position, you'll serve as a key partner across investment, legal, trustee, and operations ...

Brownhealth

Sr Analyst Business Operations

Providence, RI

$93K - $120K/yr

Performs advanced financial analysis Partners with the SVP and Finance to conduct detailed analyses that inform operational strategy, including growth planning, capital investments, expense ...

Monelle Inc

Senior Sales Associate

Newport, RI · On-site

$20 - $40/hr

As a Senior Sales Associate, you will assist customers with their shopping needs and ensure an ... of cash register operation. Responsibilities * Greet each customer with a smile and provide ...

Monelle Inc

Senior Sales Associate

Newport, RI · On-site

$20 - $40/hr

As a Senior Sales Associate, you will assist customers with their shopping needs and ensure an ... of cash register operation. Responsibilities * Greet each customer with a smile and provide ...

Monelle Inc

Senior Sales Associate

Newport, RI · On-site

$20 - $40/hr

As a Senior Sales Associate, you will assist customers with their shopping needs and ensure an ... of cash register operation. Responsibilities * Greet each customer with a smile and provide ...

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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 Rhode Island as of June 2026, with employment types broken down into 73% Full Time, 23% Part Time, 2% Temporary, and 2% Contract. Highlights an 88% Physical, 4% Hybrid, and 8% Remote job distribution.

Senior Manager, Compliance Operations

Fidelity Investments

Smithfield, RI • On-site

Full-time

Re-posted 7 days ago

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 271 frontline employees who took The Breakroom Quiz

15th of 150 rated financial services

Job description


Note: Fidelity will not provide immigration sponsorship for this position.
The Role
The Senior Manager, Compliance Operations oversees the escheatment operations team for Fidelity Digital Assets, FILI, eFILI, HR Services, Accounts Payable, Charitable, Green Pier, Workplace Investing, Fidelity Institutional Asset Management and Fidelity Management Trust Company. This role is also responsible for onboarding and implementing new lines of business, including developing policies, procedures, and controls. The role involves leading technological initiatives, responding to inquiries from internal and external stakeholders, supporting process improvements, and strengthening controls. The Senior Manager ensures that all team responsibilities and deliverables are completed accurately and on time.
Responsibilities Include:
  • Manage workflow of state requests and assignment of state requests to analysts.
  • Hire, lead, mentor, and develop a team of associates, fostering a high performance and continuous improvement in culture.
  • Coordinate annual escheatment with internal and external business partners, which includes managing to strict timelines and problem-solving.
  • Ensure on-going compliance with SEC and state required due diligence mailings. Integrate state changes to mailing parameters, re-write customer correspondence as required, and obtain business partner consensus and eReview approvals.
  • Lead project work, defining system requirements, drafting project documentation, and validating UAT results.
  • Responsible for records management and policy and procedure documentation.
  • Resource to other members of the department providing direction and technical expertise as needed.

The Expertise and Skills You Bring
  • BA/BS degree required.
  • Experience: 5 to 8 years of experience in one or more of the following areas: Escheatment, brokerage operations, Risk and Compliance.
  • Some knowledge of state escheatment rules is a plus.
  • 5 plus years in business analysis and or project management in financial services.
  • Excellent interpersonal, communication and time management skills.
  • Working knowledge of Fidelity systems including FBSI, XTRAC, TrackerPro is a plus.
  • Strong collaboration skills and ability to influence cross-functional partners.
  • Process oriented mindset with a focus on automation, efficiency, and error reduction.
  • Strong program management, prioritization, and attention to detail.
  • Ability to clearly communicate technical concepts to non-technical stakeholders.
  • Comfortable working in fast paced environments.
  • Strong regulatory and control mindset.

Fidelity's Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Certifications:
Category:
Investment Operations
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

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