Invest Operations Specialist

General information

Ref # 18258

Remote? No

Ally and Your Career

Ally Financial only succeeds when its people do - and that’s more than some cliché people put on job postings. We live this stuff We see our people as, well, people - with interests, families, friends, dreams, and causes that are all important to them. Our focus is on the health and safety of our teammates as well as work-life balance and diversity and inclusion. From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves professionally. We want to help you grow, develop, and learn new things. You’re constantly evolving, so shouldn’t your opportunities be, too?

The Opportunity

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.

Ally work location is Charlotte, NC

The Work Itself

• 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.

The Skills You Bring

• 1+ years of financial services industry experience required
• FINRA Series 7 and 63 licenses are required, Series 24 preferred.
• Bachelor's Degree in either Finance, Economics, Business preferred.
• Solid understanding of financial, brokerage, trading services industry or equivalent operations processing knowledge, preferably securities brokerage with relevant work experience.
• 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.
• Knowledge of/or experience working in financial services and/or other regulated environments is a plus.
• Ability to manage multiple spreadsheets and computer systems simultaneously.
• Ability to communicate effectively in person, email and across departments.

How We'll Have Your Back

Ally's compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals. But Ally’s total compensation - or total rewards - extends beyond your paycheck and is designed to support and enrich your personal and professional life, including:

• Time Away: competitive holiday and flexible paid-time-off, including time off for volunteering and voting.
• Planning for the Future: plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions, student loan and 529 educational assistance programs, tuition reimbursement, and other financial well-being programs.
• Supporting your Health & Well-being: flexible health and insurance options including dental and vision, pre-tax Health Savings Account with employer contributions and a total well-being program that helps you and your family stay on track physically, socially, emotionally, and financially.
• Building a Family: adoption, surrogacy, and fertility support as well as parental and caregiver leave, back-up child and adult/elder day care program and childcare discounts.
• Work-Life Integration: other benefits including LifeMatters® Employee Assistance Program, subsidized and discounted Weight Watchers® program and other employee discount programs.

Who We Are:

Ally Financial is a customer-centric, leading digital financial services company with passionate customer service and innovative financial solutions. We are relentlessly focused on "Doing it Right" and being a trusted financial-services provider to our consumer, commercial, and corporate customers. For more information, visit www.ally.com.

Ally is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.

Where permitted by applicable law, must have received or be willing to receive the COVID-19 vaccine by date of hire to be considered, if not currently employed by Ally.

We are committed to working with and providing reasonable accommodation to applicants with physical or mental disabilities. For accommodation requests, email us at work@ally.com. Ally will not discriminate against any qualified individual who is capable of performing the essential functions of the job with or without reasonable accommodation.

Base Pay Range:

Emerging: 55000

Experienced: 67500

Expert: 80000

Incentive Compensation: This position is eligible to participate in our annual incentive plan