Investment Services Operations Specialist

Provides operational and administrative support functions for Navy Federal Financial Group’s brokerage, digital, and insurance services. Acts as a "Principal" for assigned new accounts for NFIS and reviews/approves new accounts and trades for securities, digital investor, and insurance businesses. Focuses on processing, documentation, and compliance support under the guidance of senior staff. Ensure accuracy in account setup, document handling, and regulatory adherence while developing foundational expertise in securities operations.

Review, process, and approve account paperwork for investment services and digital investor for completeness and accuracy

Support internal and external audits by gathering and organizing required documentation

Respond to routine inquiries from internal staff and vendors regarding account status and documentation

Maintain current knowledge of SEC, FINRA, and internal policies; escalate complex issues to senior staff

Assist in tracking and filing securities and insurance records in compliance with regulatory standards

Participate in team meetings and training sessions to build operational knowledge

Monitor shared mailboxes, open ticket queues, coordinate responses to operational, compliance, technical, and data and analytics requests, and support timely resolution

Collaborate with Client Relationship Managers and other internal stakeholders to resolve basic operational issues

Compile statistical/historical data for group/division reports, audits and projects, distributes to management or third parties/auditors

Contact members, Navy Federal staff and vendors to obtain additional information, initiate resolution of missing and/or incomplete document issues

Educate Client Relationship Managers on systems, process and procedures, timelines and best practices related to securities and insurance documentation, filing and reporting

Perform other related duties as assigned or appropriate

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 application of broker/dealer operations methods, and procedures

Working knowledge of SEC and FINRA regulations regarding the maintenance of securities records

Active industry registrations and licenses, including: FINRA Series 7 and 24, NASAA Series 65 or 66 (and 63 in states where required) registration and Life & Health Insurance License to be obtained within 120 days

Experience using CRD & IARD databases to create/update registered securities employee records

Ability to work independently and in a team environment

Effective skill following, interpreting and applying relevant data/instructions to guidelines, procedures, practices and regulations

Skill interacting with staff, management, vendors, members diplomatically & tactfully

Skill to influence, negotiate & persuade to reach agreeable exchange & positive outcomes

Effective verbal and written communication skills

Desired

Proficiency with database, imaging systems and word processing software

Demonstrated ability to exercise initiative and judgment, and to work independently and as a team member

Hours:

Monday - Friday 8:30 AM - 5:00 PM

Location:

820 Follin Lane, Vienna, VA 22180

9999 Willow Creek Road, San Diego, CA 92131

5550 Heritage Oaks Drive, Pensacola, FL 32526

Navy Federal provides much more than a job. We provide a meaningful career experience, including a culture that is energized, engaged and committed; and fierce appreciation for our teams, who are rewarded with highly competitive pay and generous benefits and perks.

Our approach to careers is simple yet powerful: Make our mission your passion.

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From Fortune . ©2025 Fortune Media IP Limited. All rights reserved. Used under license. Fortune and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Navy Federal Credit Union.

Equal Employment Opportunity: All qualified applicants will receive consideration for employment without regard to age, race, sex, color, religion, national origin, disability, veteran status, pregnancy, sexual orientation, genetic information, gender identity or any other basis protected by applicable law.

Accommodations: If you need accommodation or assistance for a qualifying condition to complete the online application (or during any stage of the hiring process), you can contact Navy Federal's Medical Accommodations team at medicalaccommodations@navyfederal.org or by calling 1-888-503-6013. This team cannot provide any information on job postings or application status.

Disclaimers: Navy Federal reserves the right to fill this role at a higher/lower grade level based on business need. An assessment may be required to compete for this position. Job postings are subject to close early or extend out longer than the anticipated closing date at the hiring team’s discretion based on qualified applicant volume. Navy Federal Credit Union assesses market data to establish salary ranges that enable us to remain competitive. You are paid within the salary range, based on your experience, location and market position. For additional details regarding compensation and benefits, review the Benefits page of the Navy Federal Career Site.

Protect Yourself from Job Scams: Navy Federal Credit Union jobs are posted on our career site, jobs.navyfederal.org and reputable job boards (e.g., LinkedIn, Indeed). We do not post jobs on social media marketplaces, messaging apps or unverified websites. We will never ask candidates for payment, bank details or personal financial information during the hiring process.

Bank Secrecy Act: Remains cognizant of and adheres to Navy Federal policies and procedures, and regulations pertaining to the Bank Secrecy Act.