Investment Services Operations Specialist

Navy Federal Credit Union • Vienna, VA

1d • $68,300 - $107,300 • Onsite

About The Position

Provides operational and administrative support for Navy Federal Financial Group’s brokerage, digital, and insurance services. Acts as a “Principal” for assigned new accounts for NFIS and reviews and approves new accounts and trades for securities, digital investor, and insurance businesses. The role focuses on processing, documentation, and compliance support under the guidance of senior staff, ensuring accuracy in account setup, document handling, and regulatory adherence while developing foundational expertise in securities operations.

Requirements

• At least 2 years of experience in the financial services industry, preferably in securities and insurance, providing operational and/or administrative support.
• Knowledge of securities and insurance, and application of broker/dealer operations methods and procedures.
• Working knowledge of SEC and FINRA regulations regarding maintenance of securities records.
• Active industry registrations and licenses, including FINRA Series 7 and 24 and NASAA Series 65 or 66 (and Series 63 in states where required); Life & Health Insurance License to be obtained within 120 days.
• Experience using CRD and IARD databases to create or update registered securities employee records.
• Ability to work independently and in a team environment.
• Ability to follow, interpret, and apply relevant data and instructions to guidelines, procedures, practices, and regulations.
• Skill interacting diplomatically and tactfully with staff, management, vendors, and members.
• Skill in influencing, negotiating, and persuading to reach agreeable exchanges and positive outcomes.
• Effective verbal and written communication skills.

Nice To Haves

• Proficiency with database, imaging systems, and word processing software.
• Demonstrated ability to exercise initiative and judgment, and to work independently and as a team member.

Responsibilities

• Review, process, and approve account paperwork for investment services and digital investor for completeness and accuracy.
• Support internal and external audits by gathering and organizing required documentation.
• Respond to routine inquiries from internal staff and vendors regarding account status and documentation.
• Maintain current knowledge of SEC, FINRA, and internal policies; escalate complex issues to senior staff.
• Assist in tracking and filing securities and insurance records in compliance with regulatory standards.
• Participate in team meetings and training sessions to build operational knowledge.
• Monitor shared mailboxes and open ticket queues; coordinate responses to operational, compliance, technical, and data and analytics requests; and support timely resolution.
• Collaborate with Client Relationship Managers and other internal stakeholders to resolve basic operational issues.
• Compile statistical and historical data for group/division reports, audits, and projects, and distribute it to management or third parties/auditors.
• Contact members, Navy Federal staff, and vendors to obtain additional information and initiate resolution of missing or incomplete document issues.
• Educate Client Relationship Managers on systems, processes and procedures, timelines, and best practices related to securities and insurance documentation, filing, and reporting.
• Perform other related duties as assigned or appropriate.

Benefits

• Highly competitive pay.
• Generous benefits and perks.
• Meaningful career experience in an energized, engaged, and committed culture with appreciation for teams.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed