Associate Investment Operations Analyst - Murfreesboro TN

About the Role 

We are seeking candidates with 1–3 years of experience in financial services operations, middle office, or a related function. The ideal candidate brings a foundational understanding of trade processing, operational workflows, and regulatory reporting, and is eager to build on that experience while taking on greater responsibility within a fast-paced RIA environment.

What You’ll Do 

Trade Processing & Settlement 

• Capture, confirm, and settle daily trades across multiple asset classes (equities, fixed income, etc.). 

• Monitor settlement cycles and resolve trade breaks or discrepancies promptly. 

Reconciliation 

• Perform daily cash and position reconciliations. 

• Investigate exceptions, trade fails, and out-of-balance items to ensure accuracy across books and records. 

Client Onboarding & Account Maintenance 

• Support onboarding for new clients, including KYC and AML documentation reviews. 

• Maintain account data, documentation, and system setup throughout the client lifecycle. 

Regulatory Reporting & Compliance 

• Partner with compliance and legal teams to ensure all activities meet SEC and FINRA rules. 

• Assist with regulatory reporting requirements such as CAT, TRACE, and other trade-related filings. 

Risk Management & Controls 

• Adhere to internal control standards and operational risk frameworks. 

• Support business continuity efforts and assist in maintaining documented procedures. 

Process Improvement 

• Collaborate with technology, front office, and operations teams to identify automation opportunities and streamline workflows. 

• Contribute to continuous improvement initiatives that enhance accuracy and scalability. 

What You Bring 

Attention to Detail 

• You’re comfortable working in high-volume, time-sensitive environments and can spot discrepancies quickly. 

Financial Market Knowledge 

• Understanding of securities, trade lifecycles, and how financial markets operate (coursework or internship experience is a plus). 

Problem-Solving Ability 

• You can assess issues, investigate root causes, and communicate findings clearly. 

Technical Skills 

• Familiarity with Excel, data management tools, and (ideally) systems such as DTCC or Bloomberg. 

• Ability to learn new systems quickly. 

Professional Skills 

• Excellent communication, organization, and stakeholder-management abilities. 

• Ability to work both independently and as part of a team. 

Why This Role Matters 

RIA Operations professionals are essential to maintaining the accuracy, integrity, and regulatory compliance of every trade a firm executes. This role sits at the center of a brokerage’s ecosystem; connecting trading desks, compliance, clearing firms, technology teams, and clients. 

Your work directly contributes to market stability, client protection, and the smooth functioning of the financial system. 

Career Path & Growth 

A role in a RIA is a strong launchpad into: 

• Compliance & Regulatory Reporting 

• Risk Management 

• Client Services & Onboarding 

• Trade Support 

• Middle Office & Front Office–adjacent roles 

You’ll gain exposure to multiple teams and business lines, giving you a clear understanding of how a regulated firm operates end-to-end.