Wealth Management Operations Associate

We are seeking a detail-oriented Wealth Management Operations Associate to support client onboarding and account maintenance processes. This role plays a critical part in ensuring a seamless client experience by managing new account setups, documentation, compliance requirements, and ongoing account updates. The ideal candidate will have a strong understanding of financial operations, regulatory guidelines, and exceptional attention to detail in handling client data and transactions.Key Responsibilities:Facilitate the end-to-end new client onboarding process, ensuring all documentation, compliance, and regulatory requirements are met.Collect, review, and process account opening forms, KYC (Know Your Customer) information, and other required client documents.Collaborate with advisors, custodians, and compliance teams to resolve documentation issues and ensure timely account setup.Communicate with clients to guide them through the onboarding process and address any inquiries related to account setup.Handle account updates, transfers, beneficiary changes, and other maintenance requests with accuracy and efficiency.Monitor and track outstanding documentation, proactively following up to ensure compliance and completeness.Assist in processing money movements, including wire transfers, ACH transactions, and check requests, while ensuring adherence to firm policies.Work closely with custodians and internal teams to troubleshoot and resolve operational issues related to accounts.Maintain accurate client records in CRM and portfolio management systems, ensuring data integrity and compliance with regulatory standards.Ensure all client accounts adhere to FINRA, SEC, and firm-specific regulatory guidelines.Qualifications & Requirements:2+ years of experience in wealth management, financial services, or a similar operations role.Strong understanding of client onboarding, account maintenance, and regulatory compliance in a financial services setting.Experience working with custodians such as Schwab, Fidelity, or Pershing is a plus.Proficiency in CRM systems, portfolio management tools, and financial databases.Excellent organizational skills and attention to detail, with the ability to manage multiple tasks efficiently.Strong interpersonal and communication skills for client and internal stakeholder interactions.Bachelor's degree in Finance, Business Administration, or a related field preferred.

Created: 2025-03-03