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Operations Associate

Operator Assistant
Full Time
Application ends: October 7, 2026
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Job Overview

  • Date Posted
    July 7, 2026
  • Location
    Remote
  • Expiration date
    October 7, 2026

Job Description

JOB  DETAILS

Requirements
  • Minimum 3 years’ experience in wealth management, RIA or broker-dealer operations
  • Strong working knowledge of investment and insurance products
  • Familiarity with SEC and state regulatory guidelines
  • Bachelor’s degree
  • Active state insurance licensing
  • Exceptional attention to detail and accuracy
  • Strong organizational and time management skills
  • Ability to manage multiple priorities and meet deadlines
  • Excellent ability to communicate effectively, both verbally and in writing
  • Problem-solving mindset with a focus on continuous improvement
Responsibilities
  • Facilitate end-to-end client onboarding, including account and policy opening and funding
  • Maintain and update client records across Client Relationship Management (CRM) and business platforms
  • Process account changes and update account-level instructions
  • Ensure timely and accurate documentation collection, verification, and recordkeeping
  • Support portfolio rebalancing activities and model implementation
  • Act as a liaison between custodians, vendors, and internal teams
  • Track and resolve account issues, services requests, and operational exceptions
  • Support integration and data flow between systems (CRM, platform technology, reporting tools)
  • Partner with advisors and brokers to deliver excellent client service
  • Address operational inquiries in a timely and professional manner
  • Resolve issues and concerns and appropriately escalate complex matters to appropriate channels
  • Assist in the preparation and distribution of reporting as needed
  • Identify inefficiencies and recommend process enhancements
  • Document standard operating procedures and workflows
  • Support periodic reviews and testing of internal controls
  • Participate in operational and technology projects and initiatives
  • Demonstrate knowledge, understanding and compliance with applicable licensing, regulatory obligations, and internal policies and guidelines
  • Engage effectively with colleagues in a collaborative and transparent manner
  • Ability to self-motivate with strong time management skills
Desired Qualifications
  • Series 65 or 66 preferred
  • Series 7 and/or 24 a plus

 

 

 

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