Client Service & Operations Associate

COMPENSATION & BENEFITS

$120,000 – $140,000 annually, based on experience.

•      401(k) plan

•      Health insurance

•      Dental and vision coverage

•      Paid time off

•      Career growth opportunity to advance into an Operations Manager or Financial Advisor role

This role supports our financial advisors by managing the day-to-day operational and client service functions of the practice, from new account opening through ongoing account servicing, reporting, and compliance recordkeeping.

NEW ACCOUNTS & ONBOARDING

•      Open new accounts in Wealthscape — individual, joint, trust, entity, IRA, Roth, inherited IRA, and 529 registrations

•      Route documents through eSignature (DocuSign) and track envelope status to completion

•      Review submissions for NIGO items, work Wealthscape requirements and alerts, and follow up with Fidelity service teams until accounts are in good order

•      Initiate and monitor ACATS and non-ACATS transfers using the Transfer of Assets tool; track through funding and notify advisors of delays or rejects

•      Verify CIP/KYC documentation and establish client records in the CRM

•      Enroll clients in Wealthscape Investor, eDelivery, checkwriting, and debit card features

ACCOUNT SERVICING & MAINTENANCE

•      Process address, beneficiary, registration, and standing instruction updates

•      Set up and process money movement: EFT/ACH, wires, journals (book-to-book), contributions, distributions, and RMDs

•      Handle Roth conversions, 60-day rollovers, and IRA recharacterizations

•      Process date-of-death transfers, inherited IRA setups, and account closures

•      Complete margin and options agreements; monitor and resolve Reg T and cash account calls

•      Serve as day-to-day contact for client service requests, portal access, and login or technical issues

•      Support alternative investment paperwork and custody documentation

DATA, REPORTING & BILLING

•      Run and submit advisory fee billing through Wealthscape; verify fee schedules and reconcile fees received

•      Assist clients and advisors with statements, trade confirms, and tax forms (1099, 5498, 1099-R)

COMPLIANCE & RECORDKEEPING

•      Maintain books and records in accordance with the firm's written supervisory procedures

•      Ensure advisory agreements, Form ADV/CRS delivery, and required disclosures are documented and current

•      Support annual compliance reviews, mock audits, and regulatory or custodian requests

•      Escalate exceptions, suspicious activity, and senior or vulnerable client concerns to the Chief Compliance Officer

PROCESS & SYSTEMS

•      Build and maintain CRM workflows; keep client and household data accurate

•      Document and update standard operating procedures for recurring operational tasks

•      Serve as primary liaison with Fidelity Institutional service, relationship, and transition teams

•      Support integrations between Wealthscape and firm systems via Integration Xchange

•      Identify and implement improvements to reduce turnaround time and error rates

QUALIFICATIONS

•      3 years of operations or client service experience supporting financial advisors

•      Hands-on experience with Fidelity/NFS Wealthscape strongly preferred

•      Proficiency with CRM and portfolio accounting/reporting systems; strong Excel skills

•      High attention to detail with the ability to manage multiple time-sensitive requests

•      Clear written and verbal communication with clients, advisors, and custodian service teams

•      Bachelor's degree preferred

Series 7 and Series 66 (or Series 65/63) licenses are a major plus.