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.