Operations Associate

Insigneo is seeking a detail-oriented Operations Associate to join our Operations team. In this role, you will be responsible for reviewing and processing new account openings, account maintenance requests, and asset movement — serving as a key link between Investment Professionals, clients, and custodians. You will play an important role in ensuring accounts are established and maintained in accordance with regulatory requirements and firm policies.

Job Responsibilities/Main Function

New Account Opening

• Review new account documentation for completeness, accuracy, and compliance with regulatory guidelines and internal policies
• Verify that all required documentation is on file and that client information is consistent across all forms and records
• Conduct due diligence on account holders and related parties as part of the firm's KYC and AML review process
• Communicate documentation deficiencies clearly to the Investment Professional Team and follow up to resolution
• Escalate accounts for additional review when required based on established risk criteria

Account Maintenance

• Review and process a wide range of account maintenance requests including contact updates, beneficiary designations, power of attorney, authorized signers, and account feature changes
• Verify supporting documentation for accuracy, completeness, and proper execution before approving requests
• Conduct appropriate due diligence and call-back verification for sensitive account changes
• Process account closures, re-openings, and investment professional reassignments per firm guidelines
• Certify client tax documentation within required timeframes

Asset Movement

• Review and process client asset movement requests in compliance with AML and firm guidelines
• Verify authorization documentation meets minimum requirements prior to processing
• Process check deposits and maintain accurate records in accordance with firm procedures
• Coordinate with custodians to resolve inquiries and ensure timely processing

Job Requirements (Education, Experience, Skills, and Capabilities)

• Bachelor's degree in Business Administration, Finance, or a related field preferred
• Minimum of 2–5 years of experience in financial services operations
• FINRA Series 7 or 99 licenses desired
• Prior experience working with broker-dealer custodian platforms is a plus
• Bilingual in English and Spanish is a must
• Exceptional attention to detail and commitment to accuracy
• Strong organizational skills with the ability to prioritize and manage a high volume of work
• Excellent written and verbal communication skills
• Solid analytical and problem-solving abilities
• Self-starter who takes ownership and follows through independently
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outloook)