Operations Associate / New Accounts

Operations Associate / New Accounts Specialist

Position Summary

American Independent Securities Group (AISG) is seeking a highly organized, detail-oriented Operations Associate / New Accounts Specialist to support financial advisors, clients, custodians, and home office staff. This role is responsible for accurate new account processing, account maintenance, operational workflows, and responsive service across the broker-dealer and investment advisory business.

The ideal candidate is a self-starter who thrives in a fast-paced environment, embraces technology and process improvement, and is committed to delivering exceptional service.

Professional Development & Career Growth

At AISG, we believe in investing in our employees' long-term success. This position is designed for individuals seeking a career in financial services operations and administration. Employees will have opportunities to receive hands-on training in broker-dealer and registered investment adviser (RIA) operations, develop expertise in new account processing, account servicing, and operational workflows, and participate in technology and process improvement initiatives. Team members will also learn directly from experienced industry professionals and may pursue industry licenses, professional development opportunities, and advancement into senior operations, supervisory, management, or other leadership roles based on performance and business needs.

Key Responsibilities

New Account Processing

· Review, process, and track new account applications, account maintenance requests, electronic authorizations, and related documentation for completeness, accuracy, and timely completion.

· Coordinate account opening and servicing activities with custodians, advisors, and clients.

• Process electronic authorizations and related account documentation.

· Resolve outstanding account requirements by coordinating with advisors, custodians, and internal staff as needed.

· Monitor operational workflow queues, outstanding requirements, and processing status to help ensure requests are completed accurately and on time.

Client & Advisor Support

• Provide telephone and email support to advisors and internal business partners.
• Respond to inquiries regarding account opening, transfers, and account servicing.
• Route requests to appropriate departments when necessary.

· Communicate professionally with advisors, vendors, clients, and internal staff regarding account status, outstanding requirements, service requests, and processing updates.

Operational Reporting & Administration

· Support document management, correspondence, scanning, mailing, data entry, tracking systems, and other administrative functions with a high degree of accuracy.

• Perform data entry with a high degree of accuracy.

· Maintain account records, tracking systems, workflow documentation, and related administrative records accurately and consistently.

· Assist with other operational and administrative projects as assigned.

The following examples illustrate the types of day-to-day activities associated with the role and are intended to provide additional detail without duplicating the core responsibilities above.

· Processing new account applications through custodial, direct business, and internal workflow platforms.

• Monitoring and responding to new account and service-related emails.
• Processing electronic authorizations and account maintenance requests.
• Providing phone coverage and responding to advisor inquiries.
• Preparing and distributing new account and account review correspondence.
• Scanning and tracking annuity applications and related documentation.
• Maintaining workflow queues and tracking systems.

Qualifications

• Highly motivated personality with a conscientious work ethic and team-player attitude.
• Ability to prioritize work and shift focus when urgent items arise.
• Excellent attention to detail and accuracy.
• Professional demeanor and ability to maintain positive relationships with advisors, vendors, clients, and co-workers.
• High ethical standards and commitment to confidentiality.

Preferred Qualifications

• Two years of experience in a professional office environment.
• Previous broker-dealer, RIA, banking, or financial services operations experience.
• Experience with new account processing, account maintenance, client service, or back-office operations.
• Experience with CRM, document management, and workflow management systems.
• FINRA Series 7, 63, 65, 66, and/or 24 licenses are a plus.

Why Join AISG?

• Stable and growing financial services firm.
• Collaborative and team-oriented culture.
• Meaningful opportunities to contribute to firm-wide initiatives.
• Exposure to a wide range of operational and business functions.
• Ongoing training and professional development.
• Long-term career growth potential within the organization.

This position is well suited for an individual who wants to build a long-term career in financial services operations while gaining meaningful exposure to the broker-dealer and investment advisory business.

Pay: $50,000.00 - $60,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off
• Profit sharing
• Vision insurance

Work Location: In person

Salary : $50,000 - $60,000