Investment Operations Support Specialist

Job Description

Job Description

Who We Are

SGL Financial is an established wealth management and financial planning firm serving the Buffalo Grove and Chicago area for more than 22 years.

We oversee approximately $650 million in assets and proudly serve more than 850 families through our comprehensive wealth management, retirement planning, investment management, and insurance planning services.

Our mission and core beliefs guide everything we do:

• Our clients' financial security and peace of mind are always our #1 focus
• Exceptional service, responsiveness, and attentiveness are non-negotiable
• A passion for financial planning and helping others is at the heart of everything we do
• Relationships matter most. Our clients become part of our extended family

We provide a stable, growing organization with proven systems, strong leadership, advanced technology, marketing support, and a collaborative team environment that allows our team members to focus on delivering exceptional client experience.

Position Overview

Are you highly organized, detail-oriented, and interested in building a career in the financial services industry?

SGL Financial is seeking an Investment Operations Support Specialist to join our Trading team. This position plays a critical role in supporting Financial Advisors, Financial Planners, and clients by ensuring transactions, account maintenance requests, money movement, and operational workflows are processed accurately and efficiently.

This is an excellent opportunity for an individual with a Series 65 license and limited direct RIA experience who is looking to gain hands-on exposure to investment operations, wealth management, trading support, and custodial relationship management while working alongside experienced industry professionals.

The ideal candidate thrives in a fast-paced environment, enjoys managing multiple priorities, has exceptional attention to detail, and takes pride in ensuring tasks are completed accurately and on time.

Key Responsibilities

As an Investment Operations Support Specialist, you will support the day-to-day operational functions of our wealth management practice by:

• Monitoring investment operations inboxes and workflow queues throughout the day
• Reviewing operational requests submitted by Advisors and Planners
• Processing account maintenance requests and ensuring documentation requirements are met
• Coordinating client money movement requests, including transfers, withdrawals, distributions, journals, ACH transactions, and wires
• Monitoring transaction statuses and following up with custodians and trading partners
• Routing approved trade requests and tracking execution status
• Reviewing Schwab alerts, operational notifications, and outstanding service requests
• Updating internal workflow systems and maintaining accurate records
• Communicating transaction statuses, documentation requests, and processing updates to team members
• Following up on outstanding custodian requests and unresolved operational items
• Assisting with operational reporting, reconciliations, and billing support activities
• Escalating unusual transactions, compliance concerns, or complex issues to management

Day-to-Day Job Functions

• Monitor and manage assigned operational inboxes and task queues
• Process routine account servicing and maintenance requests
• Review documentation for completeness and accuracy
• Coordinate routine money movement transactions
• Track account transfers and transaction requests from submission through completion
• Monitor Schwab and custodian alerts and service updates
• Follow up with custodians regarding pending requests
• Maintain transaction logs, workflow records, and operational documentation
• Update VFM and other internal systems with request statuses and notes
• Communicate regularly with Advisors and Planners regarding outstanding requests
• Identify missing documentation before requests move forward
• Support operational audits, compliance reviews, and recordkeeping activities
• Assist with recurring administrative and operational projects as assigned

What We're Looking For

Required Qualifications

• Series 65 license required
  
• Minimum 1 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

Preferred Qualifications

• Experience working 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 preferred

Why Join SGL Financial?

You will join a collaborative team where your work directly impacts client experience and advisor efficiency. We are committed to helping our employees build long-term careers through mentorship, training, and advancement opportunities.

Compensation & Growth

• Competitive base salary of $70,000-$75,000
• 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
• Leadership support and mentorship from experienced professionals
• Family-oriented culture focused on teamwork, collaboration, and personal development

Work-Life Balance

• Paid Time Off (PTO) begins at 15 days annually and increases with tenure
• Paid holidays including federal holidays and stock market closure days
• Paid lunch hour

Business Hours That Support Work-Life Balance

• Monday-Thursday: 9:00 AM - 5:00 PM
• Friday: 9:00 AM - 2:30 PM once high-priority tasks are completed

Flexible Work Options

This position is primarily an in-office role during the onboarding and training period to support collaboration, development, and hands-on learning. Employees become eligible for SGL Financial's Hybrid Work Schedule after successfully completing six (6) months of employment and meeting performance expectations.

• Hybrid work schedule eligibility after six (6) months of employment
• Flexible management support for personal and family obligations while maintaining business responsibilities
• Collaborative team environment that values both in-office teamwork and workplace flexibility
• Employees who voluntarily opt out of the Hybrid Work Schedule and work in the office five (5) days per week may receive an additional five (5) PTO days annually, increasing their total PTO allotment from 15 days to 20 days per year.

Health & Wellness Benefits

• 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

Office Perks That Make Every Day Better

• Unlimited office snacks and beverages
• Complimentary Starbucks coffee machine
• Monthly company-paid lunches
• Team outings and social events
• Supportive and welcoming office culture
• Modern technology and systems to help you succeed

Benefits

• 401(k)
• 401(k) matching
• Health insurance
• Dental insurance
• Vision insurance
• Paid time off
• Professional development assistance

License/Certification

• Series 65 (Required or obtained within 6 months of hire)
• Bachelor's Degree (Preferred)

Compensation

$70,000 - $75,000 annually, based on experience, qualifications, and licensing.

If you're looking to grow your career in wealth management operations and join a firm that values teamwork, client service, and professional development, we'd lov