About Noviam 

Noviam is an early-career talent partner that helps financial institutions build high-performing teams through a hire–train–deploy model designed for long-term success. We source talent from diverse and often overlooked pipelines, provide targeted training before deployment, and support Analysts throughout their journey to ensure strong performance, faster onboarding, and higher retention. Our mission is simple: create equitable pathways into careers while helping our clients scale with confidence. 

About the Role 

We are looking for an operations analyst who will support the core operations of a Registered Investment Advisor (RIA). In this role, you will help ensure that all trades, accounts, and client activities meet strict SEC and FINRA requirements while partnering closely with internal teams across operations, compliance, risk, front office, and technology. 

This is an excellent opportunity for someone early in their career who wants to build a strong foundation in financial markets, regulatory frameworks, and brokerage operations. 

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.