What are the responsibilities and job description for the Senior Associate, Client Operations and Compliance position at The Coury Firm?
Senior Associate, Investment Operations
Role Summary
The Senior Investment Operations Associate is responsible for investment implementation, custodial operations, and first-line operational compliance support, ensuring accurate, timely, and compliant processing of account activity. This role serves as a subject-matter expert for custodial workflows, transactional execution, and operational controls, and partners closely with Advisors, Client Service Associates, and Compliance to maintain strong operational integrity across the firm.
Reporting to: The Senior Associate Investment Operations reports to The Director of Investment Operations
Core Responsibilities — Investment Operations
(First-Line Operational Compliance)
The Client Service Associate must possess the following characteristics and principles:
At The Coury Firm, we believe our people are our greatest asset. We offer a comprehensive and competitive benefits package designed to support your personal, professional, and financial well-being.
Our Benefits Include
Unwavering Integrity - be ethical in everything you do
Tenacious work ethic - Always be prepared and one step ahead
Selfless Service - Act with selflessness, caring humility and passion
Strong Leadership - Do what is right, and not just what is easy
Devotion to Education - Be committed to personal client continued education
OUR CULTURE
At The Coury Firm, we foster a collaborative, entrepreneurial environment where team members are empowered to take initiative, think strategically, and grow both personally and professionally. We believe in a hands-on, client-focused approach rooted in trust, transparency, and excellence. Every team member plays a critical role in delivering exceptional outcomes for our clients.
Equal Opportunity Employer
The Coury Firm is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All employment decisions are made based on qualifications, merit, and business needs, without regard to race, religion, gender, age, disability, or any other protected status.
Ready to take the next step in your career with a firm that values excellence, collaboration, and long-term growth? Apply today.
Role Summary
The Senior Investment Operations Associate is responsible for investment implementation, custodial operations, and first-line operational compliance support, ensuring accurate, timely, and compliant processing of account activity. This role serves as a subject-matter expert for custodial workflows, transactional execution, and operational controls, and partners closely with Advisors, Client Service Associates, and Compliance to maintain strong operational integrity across the firm.
Reporting to: The Senior Associate Investment Operations reports to The Director of Investment Operations
Core Responsibilities — Investment Operations
- Independently prepare and process account opening, maintenance, and closure documentation with custodians and applicable vendors; monitor and manage asset transfers, requiring limited assistance except in the most complex circumstances.
- Execute money movement and cash management transactions, including wires, ACH, and transfers, ensuring adherence to firm procedures, custodial requirements, and regulatory standards. Serve as the primary point of accountability for execution standards, issue resolution, error remediation, and escalation related to money movement activity. Serve as the primary operational liaison with custodians and external vendors, including issue resolution, follow-up, and escalation.
- Act as an internal subject-matter resource for investment implementation, account servicing, and custodian-related inquiries.
- Proactively communicate with internal stakeholders when deadlines are at risk, extensions are required, or operational constraints may impact delivery.
- Demonstrate advanced proficiency in firm systems and platforms, including CRM systems, custodian websites, and other relevant operational tools.
- Provide input on, and encourage adoption of, new technology solutions to improve efficiency, accuracy, and scalability.
- Proactively document, develop, and improve operational templates, procedures, workflows, and reference materials.
- Escalate operational issues, risks, and exceptions to appropriate personnel in a timely and professional manner.
(First-Line Operational Compliance)
- Execute and support first-line operational compliance controls related to account administration, transactions, custody, and recordkeeping.
- Maintain and review required operational and compliance logs, ensuring accuracy, completeness, and audit readiness.
- Perform reviews of below items for compliance testing:
- New and closed accounts
- Client fee calculations
- Trade activity and trade errors
- Custody and statement delivery
- IPS alignment (operational validation)
- Track, document, and support resolution of trade errors, client complaints, conflicts of interest, and operational exceptions, escalating as appropriate.
- Support best execution reviews, ERISA monitoring, and service provider oversight by preparing operational data, documentation, and evidence.
- Coordinate and support ComplySci daily tasks and quarterly attestations, ensuring timely completion and documentation.
- Assist with regulatory examinations, audits, and third-party reviews by preparing operational evidence and responding to information requests.
- Partner with Compliance and leadership to implement regulatory, custodial, and policy updates into operational workflows.
- Identify potential control gaps, process risks, or recurring issues and recommend improvements.
- Bachelor’s degree or equivalent experience in finance, operations, or a related field.
- 5–8 years of experience in investment operations, custodial operations, or financial services operations, preferably within an RIA or regulated environment.
- Strong working knowledge of custodial platforms, account administration, and money movement workflows.
- Experience supporting operational compliance, audits, and regulatory reviews.
- High attention to detail with a strong risk and control mindset.
- Ability to operate independently, manage competing priorities, and exercise sound judgment.
- Strong communication skills and comfort partnering cross-functionally.
- Experience with CRM systems and compliance platforms (e.g., ComplySci) preferred.
The Client Service Associate must possess the following characteristics and principles:
- Leadership: The ability to direct and contribute to initiatives and processes within the organization.
- Ethical Practice: The ability to integrate core values, integrity, trustworthiness, and accountability throughout all organizational and business practices.
- Effective Communication: The ability to effectively cooperate and exchange information with stakeholders, staff, and clients.
- Critical Evaluation: The ability to interpret information to make business decisions and recommendations.
- Global & Cultural Sensitivity and Effectiveness: The ability to value and consider the backgrounds and perspectives of all parties.
- Relationship Management: The ability to manage interactions to provide service and to support the organization and its clients.
- Business Acumen: The ability to understand and apply information that can contribute to the organization's strategic plan.
At The Coury Firm, we believe our people are our greatest asset. We offer a comprehensive and competitive benefits package designed to support your personal, professional, and financial well-being.
Our Benefits Include
- Competitive base salary with performance-based bonus opportunities
- Comprehensive medical, dental, and vision insurance
- 401(k) plan with company match
- Paid time off (PTO) and paid holidays
- Continuing education and professional development support
- Life and disability insurance
- Opportunities for career advancement within a growing, entrepreneurial firm
- Collaborative, team-oriented work culture
Unwavering Integrity - be ethical in everything you do
Tenacious work ethic - Always be prepared and one step ahead
Selfless Service - Act with selflessness, caring humility and passion
Strong Leadership - Do what is right, and not just what is easy
Devotion to Education - Be committed to personal client continued education
OUR CULTURE
At The Coury Firm, we foster a collaborative, entrepreneurial environment where team members are empowered to take initiative, think strategically, and grow both personally and professionally. We believe in a hands-on, client-focused approach rooted in trust, transparency, and excellence. Every team member plays a critical role in delivering exceptional outcomes for our clients.
Equal Opportunity Employer
The Coury Firm is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All employment decisions are made based on qualifications, merit, and business needs, without regard to race, religion, gender, age, disability, or any other protected status.
Ready to take the next step in your career with a firm that values excellence, collaboration, and long-term growth? Apply today.