Investment Operations Specialist Explained

Business operations involve the daily activities of a company that keep it functional and financially successful. Some organizations hire business operations specialists to identify areas for improvement, provide guidance and implement changes that can raise productivity and increase profits.

The responsibilities of an Investement Operations Consultant can vary, based on considerations such as their role within the organization, the type of company they work for and their employers' expectations and plans. However, common responsibilities for a business operations specialist include:

• Develop and implement department-wide quality control measures

• Recommend new procedures for increasing the efficiency of day-to-day operations

• Maintain communication with operations manager, staff members, and vendors to ensure adherence to protocols across key touch points

• Assist the operations manager in developing, planning, and coordinating operational activities

• Oversee investment management practices and improve them when necessary

• Ensure that operations are in compliance with various regulatory bodies

Operational Due Diligence is a bespoke, continuous and iterative process of formulating and testing the investment thesis, in order to co-create an actionable value creation plan. Operational Due Diligence, which leads to Risk Management, is primarily forward looking and opportunity focused.

“We are looking for an operations specialist to manage all aspects of our company's daily operations. The operations specialist's responsibilities include managing inventory, ensuring the correct ordering of supplies, seeing to the maintenance and replacement of operational equipment, optimizing processes, overseeing the operations team, and liaising with external stakeholders.

To be successful as an operations specialist, you should be committed to improving customer experiences and able to ensure operational efficiency. Ultimately, a top-notch operations specialist should have excellent organizational, people management, and problem-solving skills.

This role typically sits within the Operations areas of stock exchanges, stockbrokers, investment managers, banks, financial advice and wealth management firms, and investment consulting and investment administration businesses. A fully competent employee will be capable of performing complex and specialised activities, be fluent in the

systems and processes of the organisation, will be aware of the wider risk implications of their role and the business, and they may have training or supervisory responsibilities within their area of expertise. Typical activities that may be carried out by a fully competent employee include, but are not limited to:

• Managing day-to-day operations

• Optimizing operational processes and procedures for maximum efficiency while maintaining quality standards

• Assisting with the implementation of new processes and procedures

• Identifying ways to improve customer experiences.

• Ordering supplies and maintaining inventory levels

• Overseeing the operations team and assigning tasks

• Training new employees and ensuring that health and safety regulations are followed

• Interacting with customers and suppliers, answering questions, and resolving issues

• Tracking and reporting on operational performance

• Maintaining policy and procedure documents

• Processing and settlement of derivatives or complex investments

• Calculation and management of initial and ongoing margin for derivatives positions

• Valuation of complex investment portfolios

• Preparation of investment performance reports for clients and investment managers

• Preparation of management reports for internal review

• Selection of investment funds for platforms accessed by retail customers, based on pre-defined criteria

• Resolving complex issues within and across departments”