Operations Associate, Account Onboarding 

Department: Operations
Reports To: Operations Manager 

Position Overview 

The Operations Associate, Account Onboarding, will be responsible for supporting the day-to-day operations of client account servicing at a Registered Investment Advisor (RIA) firm. This includes managing and executing account openings, account transfers, move money transactions, and handling various other client requests and servicing tasks. The ideal candidate will be detail-oriented, organized, and possess excellent communication skills. The role requires an individual who thrives in a fast-paced environment, is highly client-focused, and can work effectively as part of a team. 

Key Responsibilities 

1. Account Opening & Maintenance 

• Assist clients with the completion of account opening forms, ensuring accuracy and compliance with firm policies. 
• Review and process new account applications, ensuring all necessary documentation is collected and verified. 
• Work with compliance and operations teams to ensure accounts are set up in accordance with regulatory requirements. 

1. Account Transfers 

• Manage and facilitate the transfer of assets between custodians, including initiating transfer requests and following up on outstanding items. 
• Communicate with internal teams regarding required documentation for transfers and ensure it is submitted in a timely manner. 
• Troubleshoot and resolve any issues that arise during the transfer process, working with custodians or third-party vendors as needed. 
• Ensure compliance with firm policies and industry regulations throughout the transfer process. 

1. Move Money Transactions 

• Process move money requests (fund transfers, ACH, wire transfers, etc.) from clients, ensuring they are executed in a timely and accurate manner. 
• Monitor and confirm that all transactions are completed according to client instructions and internal procedures. 
• Address any issues or discrepancies related to money movements, coordinating with custodians, and internal teams as necessary. 

1. Miscellaneous Client Servicing 

• Respond to client inquiries related to account status, transactions, or general account servicing issues. 
• Coordinate with other internal departments (e.g., financial advisors, operations, compliance) to ensure that client needs are met. 
• Assist clients with updates or changes to account preferences, beneficiaries, or contact information. 
• Handle a variety of other ad-hoc tasks, including document management and advisor follow-ups, to ensure high-quality service delivery. 

1. Compliance and Documentation 

• Ensure that all client requests and account transactions comply with firm policies, regulatory requirements, and industry best practices. 
• Maintain accurate records of all advisor interactions and transactions in compliance with firm and regulatory standards. 
• Assist with audits or reviews of client accounts and transactions, as necessary. 

Skills & Qualifications 

• Education: 
• Bachelor’s degree in finance, Business, or related field, or equivalent experience in the financial services industry. 
• Experience: 
• 1-3 years of experience in a client service or operations role within a financial services environment, preferably in an RIA, wealth management, or brokerage firm. 
• Knowledge of financial products, account types, and investment industry terminology. 
• Experience with account opening, transfer processing, and move money transactions is highly desirable. 
• Technical Skills: 
• Proficient in Microsoft Office Suite (Excel, Word, Outlook). 
• Experience with CRM (Salesforce), custodial platforms (e.g., Schwab, Fidelity, Pershing), and financial account management systems is a plus. 
• Strong understanding of financial transactions, including wire transfers, ACH, and other methods of money movement. 
• Soft Skills: 
• Strong attention to detail and ability to handle sensitive client information with discretion. 
• Excellent communication skills, both verbal and written. 
• Strong problem-solving skills and the ability to troubleshoot issues independently. 
• Client-focused with a high level of professionalism and service orientation. 
• Ability to prioritize and manage multiple tasks in a fast-paced environment. 

Certifications (Preferred, but not required): 

• Series 65 

Work Environment: 

• This role is based in an office environment (or hybrid, depending on company policy) 

Compensation & Benefits: 

• Competitive salary based on experience. 
• Comprehensive benefits package including medical, dental, vision, 401(k), and paid time off (PTO). 
• Opportunities for career growth and development within the firm. 

 Knowledge and Skills

• Enthusiasm for helping clients and other team members
• Excellent communication and interpersonal skills
• Must possess high standards of professional ethics
• Extremely proactive, reliable and success-driven
• Must be detail-oriented, organized and resourceful
• Able to multi-task in a fast-paced environment
• Knowledge of Microsoft Office and Salesforce preferred
• Able to identify escalate and problem-solve

Education and Experience

• Bachelor’s degree from a four-year college or university
• 2+ years of experience in the financial services industry or related experience
• Conduct with the highest level of integrity and confidentiality
• Knowledge of Microsoft Office and Salesforce preferred
• Knowledge of Sales Navigator and social media

Right to Revise:

This job description is not meant to be all-inclusive, and the Company reserves the right to revise this job description as necessary without advance notice.

The statements herein are intended to describe the general nature and level of work being performed by the employee. They are not to be construed as an exhaustive list of responsibilities, duties, and skills required of personnel so classified. Furthermore, they do not establish a contract for employment and are subject to change at the discretion of the employer without notice.

Why Join Us:

· Opportunity to play a key role in the growth and success of a leading RIA firm.

· Collaborative and supportive team environment.

· Competitive salary and benefits package.

· Continuous professional development opportunities.

· High end office located in Parsippany NJ with gym on-site.

· Culture activities focused on health & wellness, team collaboration, and employee engagement.