Wealth Management Operations Associate

A fast-growing, independent wealth management group for a bank with multiple locations across Wisconsin is seeking a Wealth Management professional to join its operations team. This individual will play a key role in the day-to-day processing and management of client accounts, while providing support to advisors.

The firm oversees hundreds of millions in client assets and is committed to delivering high-quality financial planning and investment management services to individuals, families, and businesses throughout Wisconsin and beyond. This role offers strong growth potential and multiple pathways for career advancement.

Responsibilities :
Open and process new client accounts across brokerage, retirement, advisory, and trust platforms on a daily basis
Submit and track account transfer requests, including ACATs, journals, ACH setups, and disbursements
Maintain accurate, up-to-date client records within CRM and back-office systems
Coordinate with advisors and clients to obtain required documentation and signatures
Monitor pending requests and proactively follow up to ensure timely completion
Support account maintenance activities, including address changes, beneficiary updates, and suitability reviews
Liaise with custodians and third-party platforms to resolve account-related issues and inquiries
Assist with compliance requirements and document management workflows
Prepare client-facing reports, account summaries, and correspondence as needed
Identify and support process improvements to enhance operational efficiency and the overall client experience

Requirements :
Bachelor's degree in Finance, Business, or a related field preferred
2+ years of experience in financial services, wealth management, or brokerage operations preferred
Series 7 and/or 66 licenses preferred but not required; firm will support licensing for the right candidate
Familiarity with account opening processes, ACAT transfers, and custodial platforms; LPL Financial experience is a strong plus
Proficiency in Microsoft Office (Excel, Word, Outlook); experience with CRM systems is a plus
Strong attention to detail with a high level of accuracy
Excellent organizational skills with the ability to manage multiple priorities
Strong written and verbal communication skills
Proactive, team-oriented mindset with a genuine interest in financial services
Ability to thrive in a collaborative, team-driven environment

The compensation package includes a starting base salary around $80,000, performance-based bonus program tied to individual and firm results, 401(k) with employer match, comprehensive insurance (health, dental, and vision), paid time off and paid holidays, continuing education reimbursement and professional development support, licensing exam sponsorship and study materials, and supportive team environment with regular team events.