M Financial Group is a community of leaders comprising the best and brightest minds in our industry. By combining individuals’ expertise and skill, M Financial Group has become a powerful force committed to advancing the interests of our industry, communities, and clients for over 40 years. M’s solutions are rooted in the diverse expertise of our team, our collaborative approach to innovation and our comprehensive support.

We embrace a progressive, dynamic mindset for every role. M Financial Group provides a professional community that actively supports individuals with diverse backgrounds and perspectives who come together to build and support best-in-class solutions. If you’re looking to be a part of a high performing, collaborative, and dedicated team, M Financial Group is in search of our next Investment Operations Analyst to join our team.

The Investment Operations Analyst drives operational improvements and platform enhancements for the M Securities Brokerage and Investment Advisory platform. They are comfortable learning and working with all types of data and independently researching complex operational mechanics. The Investment Operations Analyst uses comprehensive knowledge and expertise of M Securities’ Brokerage and Investment Advisory platform to further exceptional customer service to Member Firms. They will execute operational process/platform enhancements, conduct business analysis on the investment platform, and provide practice management support to our Member Firms. This position also contributes to the oversight of partner relationships, including Pershing, Charles Schwab, and Envestnet.

The Investment Operations Analyst drives operational improvements and platform enhancements for the M Securities Brokerage and Investment Advisory platform. They are comfortable learning and working with all types of data and independently researching complex operational mechanics. The Investment Operations Analyst uses comprehensive knowledge and expertise of M Securities’ Brokerage and Investment Advisory platform to further exceptional customer service to Member Firms. They will execute operational process/platform enhancements, conduct business analysis on the investment platform, and provide practice management support to our Member Firms. This position also contributes to the oversight of partner relationships, including Pershing, Charles Schwab, and Envestnet.

Responsibilities

Member Firm and Internal Support

• Collaborate with other teams and business units to continually improve and enhance investment offerings to Member Firms
• Consult and train Member Firms and Advisors on choosing Investment Advisory program, custodian, Envestnet, and investment management related tools
• Assist with transitions of Member Firms and representatives joining and exiting M Securities
• Communicate with heavy users of the investment advisory platform to discuss user experience, areas of challenges and opportunities for growth
• Create and execute exception monitoring with custodian partners and Envestnet to perform quality control on team tasks and identify items requiring escalation
• Handle Tier 2 escalations with custodians and vendor partners, working towards swift resolution and advocating for Member Firms and their clients
• Serve as Tier 2 support for Investment Operations team, including research and resolution of elevated issues and complex requests
• Create and update Investment Operations related desktop procedures and training resources for internal and Member Firm use
• Support projects and responsibilities of the Operations, Risk, Compliance, and Supervisory teams by serving as a Subject Matter Expert (SME) of the Investment Operations team

Custodians and Vendor Partners

• Ability to contribute to strong relationships with custodians and other vendor partners
• Serve as a liaison between M Securities and Pershing, Pershing Advisor Solutions, Charles Schwab, and Envestnet to identify and recommend areas for improvement and opportunities to expand offerings to Member Firms
• Participate in periodic relationship discussions and contribute to resulting action items
• Respond to questions from custodians and vendor partners in a timely manner
• Contribute to education and training efforts related to custodians and vendor offerings
• Manage user entitlements for custodian and vendor platforms
• Contribute to the identification and implementation of additional program and software solutions for both internal and Member Firm use
• Contribute to custodian and vendor training resources for Member Firms

Additional Responsibilities

• Lead annual budgeting and forecasting efforts in concert with Wealth Solutions Management and the Finance team; produce and review actuals, variance and forecast analysis with Senior Management
• Receive and submit invoices for processing for all Wealth Solutions business units.
• Collaborate with Wealth Solutions teams to identify areas for process improvement, and operational efficiencies, and assist with solution implementation
• Additional duties and projects as assigned

Qualifications

• Minimum four years progressively responsible, directly-related work experience
• Series 7 and 66 required or ability to earn within 6 months
• Well-developed computer skills including the use of databases, Advanced Excel, and Power BI
• Knowledge of FINRA and SEC regulations
• Self-motivated and detail-oriented
• Strong verbal and written communication skills
• Proactive communicator, understanding when to update various parties on status of work, problems, changes, and other relevant information
• Demonstrated ability to prioritize work on multiple projects with different deadlines
• Ability to work effectively, both independently and as a member of a team
• Proactive with a demonstrated commitment to collaboration and achieving team goals
• Excellent written and verbal communication skills

Job Conditions and Environment:

• Hybrid work environment offering a blend of virtual/work from home and onsite days designed to support flexibility
• Normal office environment/desk assignment
• Extensive use of PCs, computer terminal, display, keyboard, and mouse
• Extensive close work with documents, publications, databases, and spreadsheets
• Potential for light travel (less than 10%)

This position description is not intended to be and should not be construed as an all-inclusive list of responsibilities, skills or working conditions associated with this position. While this description is intended to accurately reflect the position’s activities and requirements, management reserves the right to modify, add or remove duties as necessary.