The Operations Support Consultant serves as a subject matter expert for complex operations matters, providing guidance and solutions that support financial professionals, clients, and internal business partners. This role is responsible for researching and resolving nuanced accounts, money movement, and client service issues while balancing risk management, operational controls, and an exceptional service experience.
The ideal candidate possesses deep investment operations knowledge, strong analytical skills, and the ability to navigate complex scenarios involving account registrations, trading activity, money movement, fraud investigations, and operational error resolution.
Research, analyze, and resolve complex operational issues involving brokerage accounts, advisory accounts, retirement plans, trusts, corporations, LLCs, partnerships, and other entity account types.
Interpret legal and account documentation to determine authorized parties, account restrictions, and permissible account activity.
Evaluate money movement requests and transactions while balancing risk mitigation, fraud prevention, regulatory requirements, and client service expectations.
Serve as a resource for operational inquiries involving securities, trading activity, account maintenance, and transaction processing.
Conduct independent research to address complex issues involving securities-based lending, margin activity, trading violations, cost basis, security lots, and tax-related transaction impacts.
Partner with direct sponsor companies to correct account and processing errors such as share class discrepancies, annuity rider issues, and account servicing concerns.
Identify process gaps across teams and workflows, collaborating with business partners to improve operational efficiency and client outcomes.
Assist with client fraud investigations, recovery efforts, and escalated service situations while maintaining appropriate controls and documentation.
What We Are Looking For
5+ years of experience in financial services operations, brokerage operations, investment operations, trading support, or a related field.
Working knowledge of Schwab, Fidelity, Vanguard, or other third-party asset managers and custodians.
Experience working with major clearing firms such as National Financial Services (NFS), Pershing, or similar organizations.
Experience supporting entity accounts, including trusts, corporations, LLCs, partnerships, and other complex registrations.
- Strong understanding of money movement processes, operational risk management, and transaction review procedures.
Location: Phoenix, AZ, or Fairfield, IA – Hybrid in-office 3 days/week
Compensation: $24.00- $29.00
Why Cambridge?
Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
- Premium benefit package including medical, vision, dental, life and long-term disability insurance
- Vacation/sick time
- 401K retirement plan with company matching program
- Eleven paid holidays
You can find more details about our comprehensive benefits package here.
Cambridge Overview:
Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.
Skills Required
- 5+ years of experience in financial services operations, brokerage operations, investment operations, or trading support
- Working knowledge of Schwab, Fidelity, Vanguard, or other third-party asset managers and custodians
- Experience working with major clearing firms such as National Financial Services (NFS) or Pershing
- Experience supporting entity accounts including trusts, corporations, LLCs, partnerships, and complex registrations
- Strong understanding of money movement processes, operational risk management, and transaction review procedures
- Ability to research and resolve complex issues involving securities-based lending, margin activity, trading violations, cost basis, security lots, and tax-related transaction impacts
- Experience assisting with client fraud investigations, recovery efforts, and escalated service situations while maintaining controls and documentation
- Ability to work hybrid in-office 3 days/week in Phoenix, AZ or Fairfield, IA
What We Do
Do you control your journey? Are you independent? At Cambridge, we are business innovators, financial planners, wealth advisors, business builders, next generation, retirement planners, visionaries, investment advisors, succession planners, entrepreneurs, and business owners. We believe clients come first, and we all need the freedom to customize our businesses, our way, to best serve our clients. Visit joincambridge.com to learn more. We believe every journey is important. We are independent. We are Cambridge. Visit youcontrolthejourney.com to see more about who we are, what we do, and why we do it. Securities offered through Cambridge Investment Research, Inc., a broker-dealer, Member FINRA/SIPC and Investment Advisory Services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly-owned subsidiaries of Cambridge Investment Group, Inc. Cambridge and its predecessor broker-dealer was founded in 1981.
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