Wealth Management Operations Specialist

The Wealth Operations Specialist supports the day-to-day operational needs of advisors and client service teams, ensuring accurate processing, timely follow-through, and exceptional service. This role partners with custodians and internal departments to support account opening and maintenance, money movement, client documentation, service requests, and operational issue resolution while following firm policies and regulatory requirements.

As a knowledgeable resource in wealth management operations, this individual helps teams navigate custodial requirements, firm processes, and technology platforms. Responsibilities include researching and resolving account issues, maintaining accurate records, providing guidance on operational procedures, and identifying opportunities to improve workflows and service delivery.

The ideal candidate brings strong operational knowledge, attention to detail, clear communication, and a collaborative approach. Success in this role requires the ability to manage competing priorities, take ownership of requests through resolution, and build trusted relationships with advisors, staff, and custodial partners.

KEY RESPONSIBILITIES

1. Wealth Management Operations & Custodial Administration

• Analyze incoming books of business and determine appropriate account transfer and conversion strategies
• Coordinate account opening, maintenance, transfers, rep-code setup, custodial conversions, and asset movement activities
• Serve as a primary operational liaison with custodians and external business partners
• Monitor and resolve operational exceptions, transfer issues, NIGO items, and account discrepancies

2. Advisor Training & Relationship Management

• Build trusted relationships with advisors, support staff, and internal stakeholders throughout the onboarding process
• Deliver operational training, process education, and technology onboarding for advisors and administrative teams
• Provide ongoing guidance and support to ensure the successful adoption of firm processes and technology platforms

3. Cross-Functional Leadership & Project Coordination

• Coordinate activities across Operations, Compliance, Legal, Finance, Technology, Marketing, and Advisory teams
• Facilitate communication and issue resolution across multiple concurrent transitions
• Identify risks, escalate issues appropriately, and ensure projects remain on schedule

4. Continuous Improvement & Reporting

• Track transition progress, operational metrics, and project status updates for leadership
• Identify opportunities to improve workflows, reduce risk, and enhance the advisor and client experience
• Contribute to the development of scalable operational processes that support the firm’s growth strategy

REQUIRED QUALIFICATIONS

• 3+ years of wealth management operations, advisor services, transition management, or financial services experience.
• Experience in an RIA, Broker-Dealer, Hybrid Wealth Management firm, custodian, or financial services institution.
• Strong knowledge of custodial platforms, account transfer processes, ACAT and non-ACAT transfers, account opening, re-registrations, asset movement, and account maintenance workflows.
• Experience supporting and leading projects, coordinating multiple workstreams, and managing complex priorities
• Experience delivering training, onboarding programs, or operational education to advisor teams and support staff
• Strong analytical, organizational, and technology skills, including experience with CRM, workflow, and reporting platforms
• Excellent communication, problem-solving, and client service skills
• High ethical standards and a commitment to client confidentiality.
• Works well in a team environment and independently.
• Ability to work extended hours, weekends, and holidays as needed

PREFERRED QUALIFICATIONS

• Bachelor’s degree in business, Finance, Operations, Management, or a related field; equivalent industry experience will be considered.
• Experience working directly with financial advisors and their support staff
• Knowledge of major custodians and wealth management platforms such as Charles Schwab, Fidelity Investments, Pershing, and LPL Financial, or similar providers.
• Experience with Salesforce, Orion, DocuSign, portfolio management systems,
• Experience creating operational procedures, training materials, advisor onboarding resources, and transition playbooks
• Project management experience involving multiple stakeholders, timelines, and operational workstreams