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Careers

Working at Nations

Join Our Skilled Team at Nations

Nations Financial Group, Inc. is a rapidly growing independent Registered Investment Advisory (RIA) firm and registered Broker Dealer serving independent Advisors and Registered Representatives nationwide.  Headquartered in Cedar Rapids, Iowa, we are proud of our Midwest roots, our integrity, strong work ethic, and culture of helping others.

We genuinely care about our Advisors and their teams.  This is most evident in our founding principles of TrueWealth.  That same TrueWealth mission applies to our team members and their families by promoting work/life balance and personal flexibility.

At Nations, our team members strive daily to provide the best experience for our Advisors and their team members. We are always interested in highly motivated candidates who share our core values and our TrueWealth mission.  If you are a focused problem solver who enjoys helping others, consider a career at Nations Financial Group.

JOIN OUR TEAM

Benefits of Working at Nations

Medical, Dental, and Vision Benefits
Health Savings Account (HSA)
Basic Life, Accident and Disability
Long Term Disability
401(k) with Matching
Profit Sharing Plan
Paid Holiday
Paid Time Off (PTO)
Work-Life Balance

 

Current Openings

Department

Operations

Job Level

Specialist

Exemption Status

Exempt

Reports To 

Director of Operations 

Position Summary

The Operations Specialist is responsible for the delivery of a high touch, high service client experience that leads to the retention of long-term quality clients and FA’s from the operations department. They will assure strict adherence to service delivery systems, regulatory requirements and company operational standards

Essential Duties and Responsibilities

  • Periodically reviewing the operational program and procedures for best practices or in light of changes.
  • Providing guidance, advice, and/or training and educational programs, to improve associated person’s understanding of operational requirements.
  • Being knowledgeable of the firms’ compliance program and to help educate and assist all associated persons with regard to operations compliance to assist in creating a culture of compliance.
  • Ensures that required documentation or instructions for operational processing are in line with firm and industry requirements, rules and regulations.
  • Works with associated persons and vendors as a key contact for operational problem resolution.
  • Assisting with all daily and periodic operational activities. Including but not limited, to Cashiering, Brokerage and Advisory On-boarding, and Transfers.
  • Interacts daily on the phone, through email and in person with associated persons.
  • Participate in training and cross-training of operational functions.
  • Perform other duties as assigned.

 

Minimum Education and Experience 

  • High school diploma or GED. Additional schooling preferred.
  • FINRA SIE and Series 99 registrations or willing to attain within first 12-months. Also, willing to obtain additional registrations.
  •  

Desired Skills and Competencies 

  • Previous operational experience within the brokerage and advisory service industry.
  • Securities Industry Essential (SIE) exam or other relevant FINRA registrations preferred.

 

Required Skills – Minimum Skills and Competencies Required to Perform Job Competently 

Must be highly motivated, comfortable working independently, good decision making and organizational skills, complemented with effective communication abilities to work with internal and external customers in a way that instills trust. Must have effective written and verbal communication skills. Be comfortable working in an environment governed by strict rules and rigorous guidelines.

  • Strong attention to detail
  • Excellent problem-solving and follow-up skills
  • Excellent customer service skills
  • Ability to multi-task and work effectively in a fast-paced/high volume environment
  • Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively

Travel Frequency (Amount of Time Working Outside the Office): 1%

Disclaimer: The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of employees so classified.

Department

Operations

Job Level

Senior 

Exemption Status

Exempt

Reports To 

Director of Operations 

Position Summary

The Senior Operations Specialist is responsible for the delivery of a high touch, high service client experience that leads to the retention of long-term quality clients and FA’s from the operations department. They will assure strict adherence to service delivery systems, regulatory requirements and company operational standards

Essential Duties and Responsibilities

  • Periodically reviewing the operational program and procedures for best practices or in light of changes.
  • Providing guidance, advice, and/or training and educational programs, to improve associated person’s understanding of operational requirements.
  • Ensuring that the operation team understands and provides services that meet core service values and standards.
  • Being knowledgeable of the firms’ compliance program and to help educate and assist all associated persons with regard to operations compliance to assist in creating a culture of compliance.
  • Ensures that required documentation or instructions for operational processing are in line with firm and industry requirements, rules and regulations.
  • Works with associated persons and vendors as a key contact for operational problem resolution.
  • Assisting with all daily and periodic operational activities. Including but not limited, to Cashiering, Brokerage and Advisory On-boarding, and Transfers.
  • Interacts daily on the phone, through email and in person with associated persons.
  • Provide and participate in training and cross-training of operational functions.
  • Perform other duties as assigned.

Minimum Education and Experience 

  • High school diploma or GED. Additional schooling preferred.
  • 5+ years of experience in securities industry operations.
  • FINRA Series 99 registrations or willing to attain within first 12-months. Willing to obtain additional registrations.

Desired Skills and Competencies 

  • Previous operational experience within the brokerage and advisory service industry.
  • Securities Industry Essential (SIE) exam or other relevant FINRA registrations preferred.

Required Skills – Minimum Skills and Competencies Required to Perform Job Competently 

Must be highly motivated, comfortable working independently, good decision making and organizational skills, complemented with effective communication abilities to work with internal and external customers in a way that instills trust. Must have effective written and verbal communication skills. Be comfortable working in an environment governed by strict rules and rigorous guidelines.

Travel Frequency (Amount of Time Working Outside the Office): 1%

Disclaimer: The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of employees so classified.