Investment Operations Support Specialist

SGL Financial, LLC•Buffalo Grove, IL

9d•$70,000 - $75,000•Hybrid

About The Position

SGL Financial is seeking an Investment Operations Support Specialist to join its Trading team. The role supports Financial Advisors, Financial Planners, and clients by processing transactions, account maintenance requests, money movement, and operational workflows accurately and efficiently. It offers hands-on exposure to investment operations, wealth management, trading support, and custodial relationship management while working alongside experienced professionals. The position is primarily in-office during onboarding and training; employees may become eligible for a hybrid schedule after six months of employment and meeting performance expectations. The stated business hours are Monday through Thursday, 9:00 AM–5:00 PM, and Friday, 9:00 AM–2:30 PM once high-priority tasks are completed.

Requirements

Series 65 license required, or to be obtained within six months of hire.
Minimum one year of experience in financial services, operations, banking, wealth management, or an administrative support role.
Strong proficiency with Microsoft Excel.
Excellent organizational skills and attention to detail.
Strong written and verbal communication skills.
Ability to manage multiple priorities while meeting deadlines.
Strong problem-solving and follow-up skills.
Ability to work independently after training while following established procedures.
High level of professionalism when handling confidential financial information.

Nice To Haves

Experience within an RIA, broker-dealer, bank, or wealth management firm.
Familiarity with Charles Schwab Advisor Services or other investment custodians.
Experience processing account transfers, money movement transactions, or account maintenance requests.
Exposure to CRM, portfolio management, or task management systems.
Understanding of brokerage accounts, retirement accounts, and investment account servicing.
Basic knowledge of mutual funds, ETFs, stocks, and fixed-income investments.
Bachelor’s degree in Finance, Business Administration, Accounting, Economics, or a related field.

Responsibilities

Monitor investment operations inboxes and workflow queues throughout the day.
Review operational requests submitted by Advisors and Planners.
Process account maintenance requests and confirm documentation requirements are met.
Coordinate client money movement requests, including transfers, withdrawals, distributions, journals, ACH transactions, and wires.
Monitor transaction statuses and follow up with custodians and trading partners.
Route approved trade requests and track execution status.
Review Schwab alerts, operational notifications, and outstanding service requests.
Update internal workflow systems and maintain accurate records.
Communicate transaction statuses, documentation requests, and processing updates to team members.
Follow up on outstanding custodian requests and unresolved operational items.
Assist with operational reporting, reconciliations, and billing support activities.
Escalate unusual transactions, compliance concerns, or complex issues to management.
Review documentation for completeness and accuracy and identify missing documentation before requests proceed.
Track account transfers and transaction requests from submission through completion.
Maintain transaction logs, workflow records, and operational documentation; update VFM and other internal systems with request statuses and notes.
Support operational audits, compliance reviews, and recordkeeping activities.
Assist with recurring administrative and operational projects as assigned.

Benefits

Team-based bonus opportunities.
Clear career advancement path within investment operations and wealth management.
Ongoing training and professional development.
Sponsorship of industry licenses, certifications, and education programs after six months of employment.
Mentorship and leadership support from experienced professionals.
Paid time off beginning at 15 days annually, increasing with tenure.
Paid holidays, including federal holidays and stock market closure days.
Paid lunch hour.
Health insurance, with the company covering 70% of employee premium costs.
Dental insurance.
Vision insurance.
Spouse and dependent coverage available.
401(k) retirement plan with company matching eligibility after six months of employment.
Additional five PTO days annually for employees who opt out of the hybrid schedule and work in the office five days per week.
Office snacks and beverages, complimentary Starbucks coffee, monthly company-paid lunches, team outings, and social events.
Modern technology and systems.