Associate Investment Operations Analyst - Murfreesboro TN

About the Role

We are seeking candidates with 1–3 years of experience in financial services operations, middle office, or a related function. The ideal candidate brings a foundational understanding of trade processing, operational workflows, and regulatory reporting, and is eager to build on that experience while taking on greater responsibility within a fast-paced RIA environment.

What You’ll Do

Trade Processing & Settlement

• Capture, confirm, and settle daily trades across multiple asset classes (equities, fixed income, etc.).

• Monitor settlement cycles and resolve trade breaks or discrepancies promptly.

Reconciliation

• Perform daily cash and position reconciliations.

• Investigate exceptions, trade fails, and out-of-balance items to ensure accuracy across books and records.

Client Onboarding & Account Maintenance

• Support onboarding for new clients, including KYC and AML documentation reviews.

• Maintain account data, documentation, and system setup throughout the client lifecycle.

Regulatory Reporting & Compliance

• Partner with compliance and legal teams to ensure all activities meet SEC and FINRA rules.

• Assist with regulatory reporting requirements such as CAT, TRACE, and other trade-related filings.

Risk Management & Controls

• Adhere to internal control standards and operational risk frameworks.

• Support business continuity efforts and assist in maintaining documented procedures.

Process Improvement

• Collaborate with technology, front office, and operations teams to identify automation opportunities and streamline workflows.

• Contribute to continuous improvement initiatives that enhance accuracy and scalability.

What You Bring

Attention to Detail

• You’re comfortable working in high-volume, time-sensitive environments and can spot discrepancies quickly.

Financial Market Knowledge

• Understanding of securities, trade lifecycles, and how financial markets operate (coursework or internship experience is a plus).

Problem-Solving Ability

• You can assess issues, investigate root causes, and communicate findings clearly.

Technical Skills

• Familiarity with Excel, data management tools, and (ideally) systems such as DTCC or Bloomberg.

• Ability to learn new systems quickly.

Professional Skills

• Excellent communication, organization, and stakeholder-management abilities.

• Ability to work both independently and as part of a team.

Why This Role Matters

RIA Operations professionals are essential to maintaining the accuracy, integrity, and regulatory compliance of every trade a firm executes. This role sits at the center of a brokerage’s ecosystem; connecting trading desks, compliance, clearing firms, technology teams, and clients.

Your work directly contributes to market stability, client protection, and the smooth functioning of the financial system.

Career Path & Growth

A role in a RIA is a strong launchpad into:

• Compliance & Regulatory Reporting

• Risk Management

• Client Services & Onboarding

• Trade Support

• Middle Office & Front Office–adjacent roles

You’ll gain exposure to multiple teams and business lines, giving you a clear understanding of how a regulated firm operates end-to-end.