Account Opening Associate - Wealth Management

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 52,000 - 78,000; Full time

Job summary

Ascendo Resources is seeking a detail‑oriented Brokerage Operations professional in Fort Lauderdale to review and process new brokerage account applications and maintain accurate client records. You will verify documentation for accuracy, disclosures, and proper registration, supporting a range of account types.

The role requires 1+ year in brokerage operations and familiarity with FINRA/SEC rules, KYC, CIP, AML.

Qualifications

• 1+ years of experience in brokerage operations, new accounts, wealth management operations, client service, or financial services preferred.
• Previous experience within an Independent Broker-Dealer, Broker-Dealer, RIA, or wealth management firm strongly preferred.
• Understanding of brokerage account types, registrations, and new account documentation.
• Familiarity with FINRA and SEC regulations, KYC, CIP, AML, and brokerage compliance requirements preferred.

Responsibilities

• Review and process new brokerage account applications and supporting documentation.
• Verify new account documentation for accuracy, completeness, signatures, required disclosures, and proper account registration.
• Process a variety of account types including individual, joint, IRA, Roth IRA, trust, corporate, partnership, custodial, and other brokerage accounts.

Skills

Brokerage operations

New accounts processing

KYC & AML

FINRA/SEC regs

Series 7 (bonus)

Tools

Pershing NetX360

Fidelity

Schwab

Envestnet

Salesforce

Job description

• Review and process new brokerage account applications and supporting documentation.
• Verify new account documentation for accuracy, completeness, signatures, required disclosures, and proper account registration.
• Process a variety of account types including individual, joint, IRA, Roth IRA, trust, corporate, partnership, custodial, and other brokerage accounts.
• Review account documentation for compliance with firm policies, procedures, and regulatory requirements.
• Identify NIGO (Not in Good Order) items and communicate directly with Financial Advisors, Registered Representatives, and branch personnel to obtain missing or corrected documentation.
• Enter and maintain client and account information within the firm's brokerage and clearing systems.
• Assist with account maintenance requests, including beneficiary updates, address changes, registration changes, trusted contact information, and other client account updates.
• Process and track ACAT and non-ACAT account transfers, as applicable.
• Assist with account funding, journals, ACH instructions, wire instructions, check deposits, and other operational requests when necessary.
• Review required KYC, CIP, AML, suitability, and customer identification documentation associated with new accounts.
• Ensure required disclosures, agreements, and supporting documentation are properly maintained in accordance with firm and regulatory requirements.
• Work closely with Compliance, Operations, Supervision, and other internal departments to resolve account-opening issues.
• Communicate with clearing firms and custodians regarding account documentation, restrictions, and processing issues.
• Monitor pending new accounts and follow up on outstanding documentation to ensure timely account approval and activation.
• Maintain accurate electronic records and documentation in accordance with firm recordkeeping requirements.
• Provide responsive operational support to Financial Advisors and branch personnel regarding new account procedures, documentation requirements, and account status.
• Escalate unusual account activity, documentation discrepancies, or potential compliance concerns when appropriate.
• Assist with additional brokerage operations and client service responsibilities as needed.

Qualifications

• 1+ years of experience in brokerage operations, new accounts, wealth management operations, client service, or financial services preferred.
• Previous experience within an Independent Broker-Dealer, Broker-Dealer, RIA, or wealth management firm strongly preferred.
• Understanding of brokerage account types, registrations, and new account documentation.
• Familiarity with FINRA and SEC regulations, KYC, CIP, AML, and brokerage compliance requirements preferred.
• Experience with Pershing NetX360, Fidelity, Schwab, Envestnet, Salesforce, or similar brokerage/clearing platforms is a plus.
• FINRA Series 7 or other securities licenses are a plus but not required.
• Strong attention to detail and ability to identify documentation errors and discrepancies.