Yrefy is hiring an Investment Process Manager to support investor representatives and wholesalers in facilitating daily investor functions, enhancing relationships, and ensuring operational efficiency and compliance. You will report directly to the Corporate Compliance Officer and play a key role in our fast-growing financial services company.

What You'll Do

Support Investor Reps to facilitate daily investor functions such as new and closed investment requests, account maintenance, research, and transaction processing.
Complete research and resolve adjustments created by missing or incorrect transactions and coding errors.
Maintain a strong understanding of Yrefy products and documents.
Collaborate with Investor Reps and internal and external Wholesalers to build trust and enhance relationships with Investors, RIAs, and Advisors.
Support alignment of goals, objectives, and strategic initiatives. Identify and manage change adoption, usage, and enforcement.
Document and help resolve Investor complaints.
Perform reviews of Investor accounts.
Investigate ways to improve operational efficiency and effectiveness of Investor onboarding and the investment process.
Provide any special support for Investor Reps and Wholesalers as needed.
Assist with audits.
Work to ensure compliance with sponsor and broker-dealer’s compliance and policies and procedures.

What We're Looking For

At least five years of financial services, RIA industry, broker-dealer and relationship management experience.
Active and valid FINRA Series 7.
Active and valid FINRA Series 63.
A self-starter and collaborative teammate with strong problem-solving skills.
Proactive in understanding the root of an issue and considering a wide range of options before moving forward.
Flexible and able to adapt to change quickly.
Displays an openness to feedback and continuous learning.
Proficiency with MS Office Suite.
High ethical standards.
Understanding of SEC and FINRA regulations.

Nice to Have

Bachelor’s degree.
Active and valid FINRA Series 24.
Active and valid FINRA Series 82.
Compliance certification.

Technical Stack

MS Office Suite

Team & Environment

You will report directly to the Corporate Compliance Officer. A strong desire to learn and grow is important to our company culture.

Benefits & Compensation

100% Employer Paid Medical for Employee AND Whole Family, which includes access to the Mayo Clinic.
Safe Harbor 401k/ROTH Plan with a 4% Company Match.
Dental Insurance.
Vision Insurance.
Company Paid Term Life Insurance.
Supplemental Voluntary Life Insurance.
Company Paid Short-and Long-Term Disability Insurance.
Voluntary Pet Insurance.
Fully Subsidized LifeTime Gym Membership.
Tuition Reimbursement.
Catered Friday Lunches.
Fully Stocked Kitchens.
Fun in Office Work Environment.
Opportunity to Work at a Fast-Growing Company.