Senior Associate, Investment Operations

The Coury Firm • Pittsburgh, PA

4d

About The Position

The Senior Investment Operations Associate is responsible for investment implementation, custodial operations, and first-line operational compliance support, ensuring accurate, timely, and compliant processing of account activity. This role serves as a subject-matter expert for custodial workflows, transactional execution, and operational controls, and partners closely with Advisors, Client Service Associates, and Compliance to maintain strong operational integrity across the firm.

Requirements

• Bachelor’s degree or equivalent experience in finance, operations, or a related field.
• 5–8+ years of experience in investment operations, custodial operations, or financial services operations, preferably within an RIA or regulated environment.
• Strong working knowledge of custodial platforms, account administration, and money movement workflows.
• Experience supporting operational compliance, audits, and regulatory reviews.
• High attention to detail with a strong risk and control mindset.
• Ability to operate independently, manage competing priorities, and exercise sound judgment.
• Strong communication skills and comfort partnering cross-functionally.

Nice To Haves

• Experience with CRM systems and compliance platforms (e.g., ComplySci) preferred.

Responsibilities

• Independently prepare and process account opening, maintenance, and closure documentation with custodians and applicable vendors; monitor and manage asset transfers, requiring limited assistance except in the most complex circumstances.
• Execute money movement and cash management transactions, including wires, ACH, and transfers, ensuring adherence to firm procedures, custodial requirements, and regulatory standards. Serve as the primary point of accountability for execution standards, issue resolution, error remediation, and escalation related to money movement activity. Serve as the primary operational liaison with custodians and external vendors, including issue resolution, follow-up, and escalation.
• Act as an internal subject-matter resource for investment implementation, account servicing, and custodian-related inquiries.
• Proactively communicate with internal stakeholders when deadlines are at risk, extensions are required, or operational constraints may impact delivery.
• Demonstrate advanced proficiency in firm systems and platforms, including CRM systems, custodian websites, and other relevant operational tools.
• Provide input on, and encourage adoption of, new technology solutions to improve efficiency, accuracy, and scalability.
• Proactively document, develop, and improve operational templates, procedures, workflows, and reference materials.
• Escalate operational issues, risks, and exceptions to appropriate personnel in a timely and professional manner.
• Execute and support first-line operational compliance controls related to account administration, transactions, custody, and recordkeeping.
• Maintain and review required operational and compliance logs, ensuring accuracy, completeness, and audit readiness.
• Perform reviews of below items for compliance testing: New and closed accounts Client fee calculations Trade activity and trade errors Custody and statement delivery IPS alignment (operational validation)
• Track, document, and support resolution of trade errors, client complaints, conflicts of interest, and operational exceptions, escalating as appropriate.
• Support best execution reviews, ERISA monitoring, and service provider oversight by preparing operational data, documentation, and evidence.
• Coordinate and support ComplySci daily tasks and quarterly attestations, ensuring timely completion and documentation.
• Assist with regulatory examinations, audits, and third-party reviews by preparing operational evidence and responding to information requests.
• Partner with Compliance and leadership to implement regulatory, custodial, and policy updates into operational workflows.
• Identify potential control gaps, process risks, or recurring issues and recommend improvements.

Benefits

• Competitive base salary with performance-based bonus opportunities
• Comprehensive medical, dental, and vision insurance
• 401(k) plan with company match
• Paid time off (PTO) and paid holidays
• Continuing education and professional development support (e.g., CFP/CPA/Series 65/66 prep and renewals)
• Life and disability insurance
• Opportunities for career advancement within a growing, entrepreneurial firm
• Collaborative, team-oriented work culture

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level