Ally Financial Careers

The Invest Operations Specialist requires excellent organizational skills and would working in a fast paced, multi-tasked, high pressure, securities market environment. This role will perform various functions to help process and support our firms' staff and clients. The candidate will be engaged in a variety of daily tasks including Cashiering and funds movement, New Accounts, ACAT's, etc. and will serve as the final processor for various high risk matters including but not limited to: assets/money movement request and reporting review. The candidate will be responsible to ensure accurate record keeping, and will rely on established guidelines to perform their daily functions. This role will work closely with Compliance to assist that department on special projects and researching client compliant issues. Direct interaction with clients, other brokers and internal support staff.

• Performs a variety of operations functions following pre-established procedures.
• Ensure accurate record keeping in order to keep the firm compliant.
• Remain current on internal work processes, procedures, and product knowledge.
• Field and respond to clients inquiries and issues via phone calls, emails, and faxes with highest level of customer service and integrity.
• Identify potential operational risks or inefficiencies and recommend/ implement improvements.
• Assist in streamlining operation processes, documenting the process flows, and communicating proposed updates to leadership.
• Efficiently complete daily responsibilities ensuring clients information is updated and correct.
• Prioritize multiple functions based on client and firms needs.
• Assist with ad hoc high level projects while maintain typical day to day responsibilities.
• Serve as subject matter expert for various brokerage back office functions and processes.
• Assist with training and onboarding of New Operations Associates preform assets/money movement requests, CIP (Customer Identification Program), New Account Opening and reporting review.
• Works closely with Management team and Compliance to assist on special projects and researching client compliant issues including but not limited to completing responses to complaints for Management review.
• Ability to perform aforementioned tasks with little to no supervision during processing.
• Understanding of when to escalate matters and to seek assistance from.

• At least 1 year of broker services industry, specifically operations experience required.
• FINRA Series 7, 63 and 24 licenses are required.
• Solid understanding of financial/brokerage/trading services industry or equivalent operations processing knowledge, preferably securities brokerage with relevant work experience.
• Knowledge of/or experience working in financial services and/or other regulated environments is a plus.
• Ability to work well with others, multi-task and handle issues while working under time constraints.
• Ability to work in high-pressure environment with strict SLA's and deadlines.
• Results oriented with good organizational skills including attention to detail and accuracy.
• Excellent oral and written communication and strong desire to provide an exceptional customer experience.
• Demonstrated experience in handling client concerns and issues with tact and diplomacy.
• Able to exercise independent thought and judgment and adapt to new tasks with little notice.
• Microsoft Office skills including (Word, Outlook, Excel).
• A variety of internal trading systems are used so ability to learn quickly is important.
• Ability to manage multiple spreadsheets and computer systems simultaneously.
• Ability to communicate effectively in person, email and across departments.