Investment Services Operations Specialist

Navy Federal Credit Union

. Provide operational and administrative support for brokerage, digital, and insurance services .

Posted 10/27/2026full-timeUnited StatesJuniorMid-Level💰 $68,300 - $107,300 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in operational and administrative support within the financial services industry, particularly in Securities and Insurance, while ensuring compliance with SEC and FINRA regulations. Proficient in managing documentation, collaborating with stakeholders, and utilizing relevant databases for effective account management.

Highest-signal resume keywords

Operational SupportSecurities KnowledgeFINRA Series 7 RegistrationLife & Health Insurance LicenseCRD and IARD Database Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Investment-Services ProcessingRegulatory ComplianceData InterpretationDocumentation ManagementStatistical Reporting

Soft Skills

Effective CommunicationTeam CollaborationDiplomatic InteractionNegotiation SkillsInitiative and Judgment

Tools & Technologies

Database SoftwareImaging SystemsWord Processing Software

Certifications & Qualifications

FINRA Series 24 RegistrationNASAA Series 65 or 66 RegistrationSeries 63 Registration

Industry Keywords

Financial ServicesBroker/Dealer OperationsSEC RegulationsFINRA RegulationsInsurance Records Compliance

About the role

Key responsibilities & impact

Provide operational and administrative support for brokerage, digital, and insurance services
Act as a principal for assigned new NFIS accounts
Review, process, and approve investment-services and digital-investor account paperwork
Support internal and external audits by gathering and organizing documentation
Respond to routine inquiries about account status and documentation
Maintain knowledge of SEC, FINRA, and internal policies; escalate complex issues
Track and file securities and insurance records in compliance with regulatory standards
Monitor shared mailboxes and ticket queues and coordinate timely responses
Collaborate with Client Relationship Managers and internal stakeholders to resolve operational issues
Compile statistical and historical data for reports, audits, and projects
Contact members, staff, and vendors to resolve missing or incomplete documentation
Educate Client Relationship Managers on systems, procedures, timelines, filing, and reporting
Perform other related duties as assigned

Requirements

What you’ll need

2+ years of experience in the financial services industry, preferably in Securities and Insurance, providing operational and/or administrative support
Knowledge of Securities and Insurance and broker/dealer operations methods and procedures
Working knowledge of SEC and FINRA regulations regarding maintenance of securities records
Active FINRA Series 7 and 24 registrations
NASAA Series 65 or 66 registration, and Series 63 where required by state
Life & Health Insurance License to be obtained within 120 days
Experience using CRD and IARD databases to create/update registered securities employee records
Ability to work independently and in a team environment
Ability to interpret and apply data, instructions, guidelines, procedures, practices, and regulations
Ability to interact diplomatically and tactfully with staff, management, vendors, and members
Ability to influence, negotiate, and persuade to reach agreeable outcomes
Effective verbal and written communication skills
Proficiency with database, imaging systems, and word processing software (desired)
Demonstrated initiative and judgment (desired)
Monday-Friday availability, 8:30 AM-5:00 PM

Benefits

Comp & perks

Competitive pay
Generous benefits and perks
Career experience and an energized, engaged culture
Participation in team meetings and training sessions