Operations Associate – Wealth Management, RIA or Brokerage Experience Preferred
Carson Wealth, Littleton, CO, United States
We are seeking an experienced Operations Associate to join our wealth management practice.
We are specifically looking for someone who has worked in an RIA, wealth management firm, financial advising office, or brokerage firm and understands the operational and compliance environment of our industry.
Who This Role Is For
Processing new account opening paperwork
Understanding account registrations and titling
Working within custodial platforms
Operating in a regulated financial services environment
Key Responsibilities
Advisor Operations Support
Provide day-to-day operational support to our advisors by managing tasks, including (but not limited to) account paperwork, money movement, and monitoring custodian alerts. Ensure operational requests are handled accurately, efficiently, and in a timely manner. Assist with client meeting preparation and post-meeting follow-up to ensure a smooth client experience and adherence to compliance requirements.
Client Relationship Management
Support our advisors by managing relationships with a defined group of clients. Follow a clearly outlined client service process to ensure consistency and high-quality service. Track client interactions and ensure follow-ups are completed as needed.
General Responsibilities
Serve as backup support for the receptionist function, including appointment scheduling and phone coverage as needed. Maintain accurate client records and documentation. Identify opportunities to improve processes and client experience. Collaborate with advisors and team members to support overall firm operations.
Knowledge, Skills, and Abilities
Comfortable working with an advisor who values preparation and planning. Able to support that style through proactive organization and follow-through. Comfortable following established processes while also identifying areas for improvement. Excellent communication skills (written and verbal). Detail-oriented with the ability to manage multiple priorities.
Qualifications
Required
2+ years of experience in an RIA, wealth management firm, brokerage, or financial advisory office
Understanding of compliance and regulatory standards in financial services
High attention to detail and process orientation
CRM experience
Strong desire to work in a fast-paced, growth-oriented, client-focused environment
Preferred
Experience with major custodians (Schwab, Fidelity, etc.)
Direct experience handling new account paperwork
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We are specifically looking for someone who has worked in an RIA, wealth management firm, financial advising office, or brokerage firm and understands the operational and compliance environment of our industry.
Who This Role Is For
Processing new account opening paperwork
Understanding account registrations and titling
Working within custodial platforms
Operating in a regulated financial services environment
Key Responsibilities
Advisor Operations Support
Provide day-to-day operational support to our advisors by managing tasks, including (but not limited to) account paperwork, money movement, and monitoring custodian alerts. Ensure operational requests are handled accurately, efficiently, and in a timely manner. Assist with client meeting preparation and post-meeting follow-up to ensure a smooth client experience and adherence to compliance requirements.
Client Relationship Management
Support our advisors by managing relationships with a defined group of clients. Follow a clearly outlined client service process to ensure consistency and high-quality service. Track client interactions and ensure follow-ups are completed as needed.
General Responsibilities
Serve as backup support for the receptionist function, including appointment scheduling and phone coverage as needed. Maintain accurate client records and documentation. Identify opportunities to improve processes and client experience. Collaborate with advisors and team members to support overall firm operations.
Knowledge, Skills, and Abilities
Comfortable working with an advisor who values preparation and planning. Able to support that style through proactive organization and follow-through. Comfortable following established processes while also identifying areas for improvement. Excellent communication skills (written and verbal). Detail-oriented with the ability to manage multiple priorities.
Qualifications
Required
2+ years of experience in an RIA, wealth management firm, brokerage, or financial advisory office
Understanding of compliance and regulatory standards in financial services
High attention to detail and process orientation
CRM experience
Strong desire to work in a fast-paced, growth-oriented, client-focused environment
Preferred
Experience with major custodians (Schwab, Fidelity, etc.)
Direct experience handling new account paperwork
#J-18808-Ljbffr