RIA Custody Broker Operations - Associate Level

Location(s) US-UT-Salt Lake City
Job ID
Schedule Type
Full Time
Finance, Operations, Portfolio Management
Business Unit
RIA Custody Operations
Employment Type



RIA Custody Broker Operations is seeking a highly motivated individual with excellent teamwork, organizational, technical, communication and risk management skills. The ideal candidate should have a strong interest in financial markets and products and be able to operate effectively in a challenging and fast-paced environment. You will partner with the business and federation in order to facilitate business growth with a key focus on the risk and control around RIA initiated investment products.



RIA Custody is a new and growing area of the firm that provides a powerful platform for registered investment advisors to perform diversified investing and portfolio management with significant customization. We are a dynamic, entrepreneurial team with a passion for building digital capabilities for our rapidly growing client base.

Our operations team provides essential risk management and control to preserve and enhance the firm’s assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops and supports the processes and controls that makes business flow.



  • Gain a comprehensive understanding of the trade lifecycle and process flows of RIA initiated investment products: equities, fixed income, mutual funds, retirement products, etc.
  • Partner with teams of brokerage, execution and servicing experts to deliver top notch client support while ensuring exposure risks are appropriately mitigated
  • Partner with teams of product experts to review all operational aspects of the trade flow while gaining strong technical knowledge, risk control and commercial awareness
  • Showcase your attention to detail and ability to manage several tasks at once
  • Identify processes and controls improvement by leveraging constant evolving tools that can be used to build scalability without introducing new risks
  • Create processes to drive efficiency and scale using data to help improve processes
  • Collaborate effectively with product managers, engineers and stakeholders to identify the problem, desired outcome and new opportunities



  • Qualifications: Bachelor’s degree required
  • 3+ years of prior work experience in a relevant field within operations
  • Proficient to advanced skills with MS Office (Excel, PowerPoint, Word, Outlook)
  • Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail
  • Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience
  • Self-motivated and proactive team player who takes ownership and accountability, has strong organizational skills as well as the ability to effectively manage competing priorities
  • Flexible and able to work well under pressure in a team environment
  • Excellent communication skills (verbal, written and listening)
  • Proficient in Microsoft Office Suite & Google Applications Required
  • Demonstrates personal integrity, honesty and is able to deal with confidential information on a daily basis
  • Excellent time management and strong organizational skills, and ability to prioritize multiple tasks and anticipate potential problems



  • Experience in RIA, Custody or Brokerage industry
  • Prior experience in banking, custody and clearing or similar field
  • Able to contextualize analysis in Confluence, JIRA, Microsoft Applications, etc.
  • Familiarity with capital markets, trade flow/execution, asset servicing, portfolio management settlements and/or clearing operations
  • Operational knowledge of the custody and clearing business model and supported products, process flows, vendors, etc.
  • Experience in RIA, Custody or Brokerage industry
  • Familiarity with brokerage control account structures and/or DTCC/NSCC functions
  • Salesforce Experience is preferred



At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

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