Operations Associate – Wealth Management, RIA or Brokerage Experience Preferred

We are seeking an experienced Operations Associate to join our wealth management practice.

We are specifically looking for someone who has worked in an RIA, wealth management firm, financial advising office, or brokerage firm and understands the operational and compliance environment of our industry.

Who This Role Is For

The ideal candidate has hands-on experience:

·        Processing new account opening paperwork

·        Handling ACAT transfers

·        Understanding account registrations and titling

·        Working within custodial platforms

·        Operating in a regulated financial services environment

Key Responsibilities

Advisor Operations Support

Provide day-to-day operational support to our advisors by managing tasks, including (but not limited to) account paperwork, money movement, and monitoring custodian alerts.

Ensure operational requests are handled accurately, efficiently, and in a timely manner.

Assist with client meeting preparation and post-meeting follow-up to ensure a smooth client experience and adherence to compliance requirements.

Client Relationship Management

Support our advisors by managing relationships with a defined group of clients.

Follow a clearly outlined client service process to ensure consistency and high-quality service.

Track client interactions and ensure follow-ups are completed as needed.

General Responsibilities

Serve as backup support for the receptionist function, including appointment scheduling and phone coverage as needed.

Maintain accurate client records and documentation.

Identify opportunities to improve processes and client experience.

Collaborate with advisors and team members to support overall firm operations.

Knowledge, Skills, and Abilities

Comfortable working with an advisor who values preparation and planning. Able to support that style through proactive organization and follow-through.

Comfortable following established processes while also identifying areas for improvement.

Excellent communication skills (written and verbal).

Detail-oriented with the ability to manage multiple priorities.

Qualifications

Required:

• 2+ years of experience in an RIA, wealth management firm, brokerage, or financial advisory office
• Understanding of compliance and regulatory standards in financial services
• High attention to detail and process orientation
• CRM experience
• Strong desire to work in a fast-paced, growth-oriented, client-focused environment

Preferred:

• Experience with major custodians (Schwab, Fidelity, etc.)
• Direct experience handling new account paperwork
• Post-secondary education preferred

Pay/Benefits

Base salary range - $65,000 - $70,000

Quarterly bonuses available

401k with 8% employer match

Health Insurance