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.