Operations and Document Specialist

BFS Advisory Group is seeking a detail-oriented and proactive Operations and Document Specialist to serve as the operational backbone of our client service and back-office functions. This role is responsible for managing the end-to-end paperwork lifecycle across all business lines, ensuring that client accounts, investment transactions, and insurance and annuity applications are processed accurately, compliantly, and on time.

The Operations & Document Specialist serves as the primary liaison between BFS Advisory Group, our custodial back office (NewEdge Advisors / NewEdge Securities), investment companies, annuity and insurance carriers, and clients. This is a high-accountability role that requires excellent organizational skills, follow-through, and the professionalism to communicate clearly across multiple stakeholders simultaneously.

The ideal candidate thrives in a structured, process-driven environment, takes ownership of tasks from initiation through completion, and has a track record of managing complex paperwork workflows with precision and urgency. This role upholds BFS Advisory Group's core values of Integrity, Empathy, Future Focus, Independence, and Authenticity in every client and partner interaction.

Key Responsibilities

 1. Back Office & Custodian Operations

• Prepare, submit, and track all custodial paperwork through NewEdge Advisors and NewEdge Securities, Fidelity, and Schwab platforms
• Initiate and monitor ACAT transfers, in-kind transfers, direct rollovers, indirect rollovers, IRA contributions, and 1035 exchanges
• Execute money movement requests: wires, ACH transfers, checks, internal journals, and distributions—ensuring compliance with firm and custodian requirements
• Track all pending and outstanding paperwork to completion; proactively follow up with custodians and escalate delays
• Maintain current and accurate client account data across all custodial platforms, including beneficiary designations, account titles, and risk profiles

2. Investment Company & Product Paperwork

• Prepare and submit paperwork for mutual fund, separately managed account (SMA), and alternative investment subscriptions and redemptions
• Complete and track required documentation for investment companies, fund administrators, and third-party money managers
• Coordinate delivery of subscription documents, investor questionnaires, wire instructions, and KYC/AML documentation
• Maintain records for all investment company relationships and outstanding transactions

3. Annuity & Insurance Operations

• Prepare and submit annuity applications (fixed, fixed indexed, variable) and life insurance applications to the appropriate carriers
• Coordinate suitability documentation, replacement forms (1035 exchanges), and state-required disclosures
• Track application status with carriers from submission through policy issuance; communicate updates to advisors and clients
• Process annuity contribution, withdrawal, and surrender requests; manage required minimum distribution (RMD) paperwork for annuity contracts
• Maintain licensing and carrier appointment documentation in coordination with the compliance team
• Manage correspondence with annuity and insurance carrier back offices and case managers

4. Client-Facing Paperwork & Communication

• Prepare all client-facing documents for review, signature, and execution using DocuSign and wet-signature workflows
• Guide clients through paperwork requirements in a clear, professional, and empathetic manner
• Coordinate with clients to gather required information, identification, and signatures on a timely basis
• Track client document completion status and follow up proactively to avoid processing delays
• Maintain accurate, organized digital client files and documentation in compliance with firm retention policies

5. Compliance & Data Integrity

• Ensure all paperwork is completed in accordance with FINRA, SEC, and state regulatory requirements
• Maintain data integrity across CRM (Redtail), custodial platforms, and document management systems
• Support annual compliance reviews, audits, and regulatory filings by maintaining organized and current records
• Adhere to firm policies on client confidentiality, privacy, and information security

6. Advisor & Team Support

• Partner with advisors to anticipate and prepare paperwork for upcoming client meetings, transactions, and planning events
• Communicate proactively with the advisory team on the status of pending transactions and any issues requiring attention
• Assist with year-end operations including RMD processing, tax document coordination, and contribution deadline tracking
• Contribute to operations process improvements and documentation

Qualifications

Required

• 2–5 years of experience in financial services operations, with direct responsibility for processing paperwork (RIA, broker-dealer, insurance, or related environment)
• Demonstrated experience working with custodians such as Fidelity, Schwab, or similar platforms
• Experience submitting and tracking annuity and/or life insurance applications with carriers
• Strong understanding of account types, transfer mechanics, and money movement processes
• Exceptional attention to detail, accuracy, and organizational skills
• Excellent written and verbal communication skills; comfortable communicating directly with clients, custodians, and carriers
• Proficiency with Microsoft Office (Word, Excel, Outlook) and DocuSign
• Willingness to learn and regularly use AI tools (such as Claude) to improve efficiency, draft correspondence, and support operations workflows
• Ability to manage multiple concurrent workflows and deadlines in a fast-paced environment
• Commitment to client confidentiality and professional discretion
• Bachelor's Degree

Preferred

• Series 6, 7, 63, 65, or 66 license (or willingness to obtain within four months)
• Experience with Redtail CRM or comparable CRM systems
• Familiarity with eMoney and similar financial planning platforms
• Knowledge of common annuity carriers and their back-office submission portals
• Experience in an RIA or hybrid advisory firm

Key Competencies

• Operational precision — a zero-defect mindset for paperwork accuracy and completeness
• Ownership & follow-through — takes tasks from start to finish without needing reminders
• Multi-platform fluency — comfortable navigating custodian, carrier, and CRM systems simultaneously
• Clear communication — able to translate complex paperwork requirements for clients and partners
• Professional urgency — understands the time-sensitivity of financial transactions
• Collaborative spirit — works effectively with advisors, compliance, and client service peers
• Adaptability — responds gracefully to shifting priorities and complex, non-routine situations
• Stewardship mindset — treats client matters with the same care as one's own

About BFS Advisory Group  

BFS Advisory Group is a Dallas-based wealth management firm helping clients invest for the life they want through values-based financial planning, tax-efficient investing, and comprehensive wealth advisory services. The firm is guided by five core values—Integrity, Empathy, Future Focus, Independence, and Authenticity—and operates with a deep commitment to fiduciary duty, objectivity, and stewardship.

Our clients are primarily high net worth individuals, families, executives, and business owners. We have been recognized in D CEO, Dallas Business Journal, Forbes, The Wall Street Journal, Investment News, and other publications for our work and philanthropy.

What We Offer

• Competitive base salary commensurate with experience
• Potential for performance-based pay
• 100% coverage of health insurance premium
• 401(k) with employer match
• 15 days PTO and 10 paid holidays
• Current hybrid schedule: three days in-office, two days WFH
• On-the-job training, mentoring, and ongoing professional development opportunities

To apply for the position: Send a resume to View email address on click.appcast.io or apply through LinkedIn.

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