Investment Operations Manager

Job Description

Job Description

Job Summary

The Investment Operations Manager is responsible for leading the Processing Team that supports new account opening and ongoing account service requests. This role provides day-to-day leadership, ensures timely and accurate processing, manages exception/NIGO (Not In Good Order) items through resolution, and drives continuous improvement across workflows and service standards. The Investment Operations Manager partners closely with internal stakeholders to ensure a consistent, compliant, and scalable operating model. This role collaborates with adjacent teams (including AOR/Account Changes, PRT, Controls, etc.) for effective handoffs and communication.

Essential Functions and Responsibilities

Team Leadership & Daily Operations

• Provide leadership, coaching, and direction to the Processing Team to ensure clear priorities, accountability, and consistent execution.
• Conduct regular team meetings to share updates, address issues, reinforce standards, and support team development.
• Provide backup operational support across Investment Operations as business needs require to maintain service continuity.

Processing Oversight & Case Management

• Oversee end-to-end processing for new account openings and account maintenance/service requests, ensuring accuracy, timeliness, and adherence to established procedures.
• Serve as an escalation point for In Good Order (IGO) processing questions, exceptions, and complex cases, coordinating resolution with internal partners as needed.
• Manage NIGO and exception workflows, including confirming or overriding NIGOs when appropriate, documenting decisions, and ensuring timely resolution.

Workflow Monitoring & Performance Management

• Monitor workflow queues, dashboards, and service metrics (e.g., volume, cycle time, SLA performance, call volumes).
• Identify trends, risks, and capacity constraints and proactively communicate findings and recommendations to leadership.

Process Improvement & Documentation

• Maintain and continuously enhance process documentation, job aids, and reference materials to support onboarding, training, and cross-training.
• Identify, prioritize, and implement process improvements to standardize workflows, reduce exceptions, automate manual tasks, and improve overall efficiency and accuracy.

Compliance, Controls & Cross-Functional Coordination

• Partner with Compliance, Controls/Principal Review, custodians, vendors, and peer operations leaders to ensure workflows align with regulatory requirements and internal standards.
• Ensure accurate and complete documentation within CRM and case management systems to support auditability and regulatory expectations.
• Coordinate closely with the AOR/Account Changes function to ensure smooth handoffs and shared client service outcomes.

Custodian & Policy Management

• Monitor custodian policies, procedures, and paperwork changes and communicate updates to the Processing Team.
• Escalate business impacts or operational needs resulting from custodian changes to leadership as appropriate.

Core Competencies

• Strong knowledge of financial services operations, industry regulations, and investment products.
• Strong knowledge of Valmark operational procedures, paperwork, and processing requirements.
• Demonstrated ability to lead teams in a fast-paced, high-volume environment while meeting service standards.
• Excellent analytical, problem-solving, and research skills; ability to identify root causes and implement durable fixes.
• Clear written and verbal communication skills; ability to work effectively with Member Offices, custodians/vendors, and internal stakeholders.
• Ability to delegate effectively with clear direction and strong follow-up; hands-on leadership and mentorship.
• Technology proficiency (e.g., Microsoft 365, CRM/case tools, document management, and custodial/vendor platforms) and comfort with workflow reporting/metrics.
• Change leadership mindset; continuous improvement orientation (standardization, automation, and exception reduction).
  

Supervisory Responsibility

This position has direct supervisory responsibility for the Processing Team supporting New Business and Service, including hiring input (as applicable), training, performance management, work allocation, coaching, and development.

Required Education and Experience

• Bachelor’s degree in finance or related field OR equivalent financial services operations experience.
• 5+ years of investment operations, account opening, service processing, or related experience.
• 2+ years of people leadership experience (or demonstrated team-lead responsibilities) in an operational environment.
  

Preferred Education and Experience

• FINRA registration: Series 24 or equivalent
• FINRA registration: Series 7 or equivalent
• Industry designation (CFP, CPA, MBA)
• Certified in operational process improvement (Lean 6 Sigma, Kaizen)

Salary Range: $70,000 - $80,000

Actual salary at the time of hire may vary and may be above or below the range based on various factors, including, but not limited to, the candidate’s relevant qualifications, skills, and experience.

Physical Demands

• This is a largely sedentary role.

Expected Hours of Work

• Days and typical hours of work are Monday through Friday, 8:30 a.m. to 5 p.m.
• Some flexibility in hours is allowed, but employee must work 40 hours per week to maintain full-time status.
• Up to 2 days WFH per week, per policy.
  

Valmark reserves the right to modify, interpret, or apply this job description in any way the Company desires. This job description in no way implies this is an all-inclusive list of responsibilities to be performed by the Employee in this position. This job description is not an employment contract, implied or otherwise. The employment relationship remains “at-will”.

At Valmark, people are the most critical component of our long-term success and fittingly the number one reason why our employees say they love working here. Employees encourage each other to succeed and have a true desire to help our advisors and clients, defining the Golden Rule that is the very essence of our culture. We also invest in our people and challenge them to reach new goals with professional development opportunities, while allowing the flexibility of a work-life balance. Our entrepreneurial spirit fosters new ideas and ways of thinking that makes working here interesting and exciting while our management team is collaborative and transparent with a clear vision for long-term success. These things combined have made Valmark a place to find a rewarding and fulfilling career and earned us the distinction of Top Work Places in Northeast Ohio since 2020!

Company Description

At Valmark, people are the most critical component of our long-term success and fittingly the number one reason why our employees say they love working here. Employees encourage each other to succeed and have a true desire to help our advisors and clients, defining the Golden Rule that is the very essence of our culture. We also invest in our people and challenge them to reach new goals with professional development opportunities, while allowing the flexibility of a work-life balance. Our entrepreneurial spirit fosters new ideas and ways of thinking that makes working here interesting and exciting while our management team is collaborative and transparent with a clear vision for long-term success. These things combined have made Valmark a place to find a rewarding and fulfilling career and earned us the distinction of Top Work Places in Northeast Ohio since 2020!