Creative Capital Wealth Management Group is seeking a Senior Investment Operations Officer to join our high-performing team.
This key operations role is ideal for someone who thrives in the fast-paced world of investment paperwork processing and who brings a high level of precision and accountability to every task.
This is not an entry-level operations role — we’re looking for someone with hands-on experience in investment operations, especially within a broker-dealer channel. If you’ve worked with platforms like Docupace, DocuSign, and have a knack for navigating compliance documents with ease, we want to meet you.
Compensation & Benefits
- Salary Range: $70,000 – $90,000
- Comprehensive Benefits Package: Medical, dental, and vision insurance
- 401(k) plan with employer match
- Opportunities for ongoing training and professional development
- A collaborative team and a culture of high standards with high support
Responsibilities
- Own the end-to-end client paperwork process, ensuring all forms are completed accurately and submitted in a timely manner
- Use Docupace and DocuSign to process and manage all incoming and outgoing client documents
- Track and manage all client and account maintenance workflows
- Maintain and optimize business flow and the internal pipeline of client operations
- Ensure strict adherence to compliance protocols and broker-dealer documentation standards
- Assist financial advisors in preparing for client meetings by ensuring all paperwork is ready and compliant
- Keep meticulous records and logs for auditing and internal quality control purposes
- Identify process gaps and contribute to operational improvements
Qualifications
- Minimum of 2 years of experience in investment operations or financial services
- Familiarity with investment forms, custodial paperwork, and back-office processing
- Strong working knowledge of Docupace, DocuSign, and MS Excel
- High attention to detail with the ability to stay organized in a high-volume environment
- Strong problem-solving skills and a proactive, can-do attitude
- Excellent communication and follow-through with both clients and internal teams
- Bachelor’s degree in Finance, Business, or a related field preferred
- Professional certifications such as CFA, Series 7, or similar are a strong plus
- Prior experience with compliance in a broker-dealer channel is a huge bonus
About Creative Capital Wealth Management Group
Creative Capital Wealth Management Group, founded by Frederick Hubler in September 2003, is a wealth management firm dedicated to providing exceptional client service to a select group of high-net-worth individuals. Our mission is to offer our clients access to institutional strategies and platforms while tailoring our services to meet their unique financial needs.
Through our Retainer-Based Planning, we create customized financial plans for each client, focusing on their specific goals and objectives. We offer a proactive and personalized approach, guiding our clients through the complexities of the financial services world. We also offer more traditional asset management services.
As a forward-thinking firm, we embrace technology to facilitate client interactions, offering both in-office and virtual meetings. Our client base extends to nearly 30 states, enabling us to deliver our services efficiently and effectively to a diverse clientele.
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