Financial Operations (Investment Industry)

Our expertise is your opportunity.

O | Financial Operations Verticals

Investment Ops provides support to the Front Office Investment Teams (within various businesses such as: Wealth Advisory, Discretionary, Trust Planning, Custody & Brokerage and Deposit Management) by enabling them to deliver transactions and processes to clients.

Individuals pursuing this career path should have a keen eye for detail, be able to multi-task (at an elite level) and desire to build relationships with Traders, Administrators and Fund Managers. FINRA Registrations Series 7, 66, 63 (and a few others) are helpful. Companies process payments in excess of trillion of dollars across the banking platforms, supporting thousands of trading desks and enabling millions of banking transactions, share trades and compliance interaction – behind the scenes, financial operations teams make it all happen.

Trade Operations


  • Reviewing and processing alternative investment trades – including subscriptions, redemptions and transfers
  • Managing interactions with sales regarding pipeline
  • Monthly transaction execution with third party administrators
  • Liaising and developing relationships with custodians, third party administrators, and other vendors
  • Daily settlements with DTC and NSCC, and reconciliation of bank accounts
  • Oversight and monitoring of the proprietary and customer trading activity
  • Assisting the P&S department in resolving trade breaks with correspondents and trading accounts
  • Responding to regulatory inquiries and compiling regulatory reporting
  • Closely monitoring the firms accounts for trading activity that appears unusual
  • Collaborating with compliance and accounting areas on reconciling all trading activity


Day in a life for a Equities & Fixed Income Trade Operations Specialist:


Investment Client Services:


  • On-boarding new investment clients
  • Assisting existing investment advisory clients with service-related requests
  • Preparation of documents for quarterly and annual client account reviews 
  • Ensuring service request entries into CRM are reconciled, organizing & managing investment advisory client data – shared drive, client files, CRM
  • Assisting with quarterly client reporting & billing
  • Ad-hoc projects (ex: assisting Chief Compliance Officer with compliance-related monitoring/practices)

Middle-Office Investment Operations:


  • Transaction processing (custodial, clearing, settlement activities and others),
  • Collaborating with stakeholders in the Business / Product lines, Technology, Compliance, Finance, Legal, Risk, and others to deliver optimal support
  • Reviewing exceptions, handling escalations and liaising with the front office and back office vendors to address operational issues/inquiries/ requests
  • Taking initiative to get involved in process/workflow re-engineering
  • Monitoring trade operations’ adherence to internal policies, regulatory mandates and risk mitigation
  • Acting on exceptions/escalation related to client on-boarding, account openings, custody, trade process, mutual fund/offshore funds and hedge fund process, fee process, reconciliations, and any operational type activity
  • Facilitating operational issue resolution through proper documentation of root cause analysis (RCA) and recommending improvements


Resources for Investment Operations Careers:

  1. CISI (Chartered Institute for Securities & Investments) provides a wide variety of certifications for financial investment ops professionals

O | Representative Direct Hire Financial Operations Searches:
Trade Operations Specialist, Financial Operations Associate / Manager, Middle Office Operations Manager


Every search is kept extremely confidential. Period.


There is no such thing as too much information in our book. We’ll keep you “in the know” at all times.

“Know your craft”

… is our #1 company motto for all recruiters. IE, you’ll be in very capable hands throughout any process.


Whether timing is ASAP or there is a timeline of 6-12 months; we’ll customize the appropriate search strategy.

Passive Searches

“Open to something great, but not actively looking” – lets discuss the definition of great & we’ll help you find it.


Our word is our bond, simple as that.

7-Step Origin Staffing Candidate Process

Results are achieved by understanding the “why”. Details matter. Let’s partner up & get it done.
  • Introductory Call / Meeting
  • Resume Strategy
  • Determining search parameters
  • Origin Staffing will only show you opportunities within set parameters. We always present the whole story behind the openings – including describing the company’s business infrastructure / future growth plans, reason for opening, team structure, general compensation & benefits info, job description and most importantly any specific color on the opportunity directly from the hiring manager.
  • We NEVER send your resume to any companies until we receive your permission – “Green light with interest to pursue”
  • Every company has a different interview process – some just want to get to know you, some will grill you on a technical level, some expect you to know specifics about them, some have deal breaker parameters not shown on the job description. This is only on a company level. Then each interviewer has their own style.
  • We’ll prep you to help navigate this minefield, and make sure you make a great 1st, 2nd and sometimes 3rd impression.
  • On the other side – most interviews are very informational in nature – hence we’ll help you fine-tune the appropriate questions to ask (and sometimes most importantly to avoid) to get the information necessary to make the right decision @ the end of an interview process.
  • This happens early in the process, in the middle of interviewing, and at the “decision step”. Origin Staffing is incentivized to make sure you are excited about an offer package.
  • References, Giving Notice, Background Checks, taking time off in between positions, making the right 1st impression with the new company. All of these steps can be tricky to navigate – we’ll be there by your side offering support & guidance.
  • Over 80% of our business is from referrals – we’d love to stay in touch long term & be your “Go To” recruiting agency in Boston for the remainder of your career. Your professional interests will evolve over the years and we’ll be there to support you.
  • Additionally, as you progress your career and have direct reports to hire, we’ll be there to fill out your team with top talent.