Account Opening Specialist

Sequoia Financial Group; Dublin (OH); On-site; USD 45,000 - 65,000; Full time

Job summary

Concord Sequoia Financial Group seeks an Account Opening Specialist to support advisor teams and clients by processing all new account opening requests with accuracy and adherence to policies. You will handle retirement, joint, individual, trusts, and corporate accounts, ensuring timely completion and minimizing re-work, while maintaining compliance across custodians and internal procedures. Strong communication and system skills are essential.

Qualifications

• 2+ years in service or support, preferably financial services/banking.
• Excellent communication and organizational skills.
• Proficient with Microsoft Office suite and typing.
• Able to learn and use multiple systems and platforms.

Responsibilities

• Provide outstanding support to advisor teams, clients, and colleagues.
• Process new account requests accurately per SLAs.
• Handle various account types including retirement, Joint, Individual, Trusts, Corporate, Business, and Charitable accounts.
• Understand and process account investment options and custodian requirements.
• Review custodial systems and ensure complete, compliant new account packages.
• Document work with detailed notes and explanations.

Skills

Communication skills

Organizational skills

MS Office/Typing

Ability to learn multiple systems

Education

Bachelor’s degree in finance or business

Tools

Salesforce

Schwab

Fidelity

Job description

Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in Northeast Ohio, offering financial planning and wealth management services. At Sequoia, we exist with a singular purpose: to enrich lives. Our values define how we behave and guide us through the pursuit of our purpose to enrich lives. At Sequoia, our core values are:

• Integrity. We act in the best interests of others by providing an honest, consistent experience for our clients and team.
• Passion. We pursue our full potential, seeking to continually enhance and evolve our ability to serve our clients and team.
• Teamwork. We subordinate our egos to work together for the benefit of our clients.

Our promise to team members is that you will grow with us. From experienced advisors to new college grads to transitioning principals, every team member will find Sequoia a place to refine their professional mission, move into new opportunities, go deeper, and lead further. We are built to help you build a career here as a long-term contributor in our work to enrich lives for generations.

Summary Of The Position

The Center of Excellence, Account Opening Specialist plays a pivotal role in supporting our advisor teams and clients by facilitating all aspects of account opening requests. This position serves as the subject matter expert on processing and policies related to new account requirements for our firm and custodians.

The role of the Account Opening Specialist will be measured in terms of on-time completion of New Account openings, minimization of re-work (i.e., NIGO instances), adherence and compliance to internal and external policy, and volume of New Accounts successfully opened in a given time period.

Responsibilities

• Provide outstanding customer support to advisor teams, clients, and colleagues
• Process all new account requests accurately and in accordance with defined service level agreements
• Handle various types of applications, including retirement, Joint, Individual, various types of Trusts, Corporate, Business, and Charitable accounts
• Understand and process different account investment options/features including Separately Managed Accounts, Pledged Accounts, Alternative Investments, and Margin
• Understand and process custodian specific paperwork/process for Schwab and Fidelity’s referral networks (SAN/WAS)
• Process Sequoia Client Agreements accurately as needed with new accounts.
• Understand compliance changes and requirements to our agreements
• Understand Sequoia’s compliance documents and policies and include with new account packages.
• Review custodial systems/accounts to understand ongoing requirements and changes
• Document work in cases with detailed explanation and notes
• Ensure all necessary policies and data are captured for each new account request
• Coordinate and elevate issues as necessary with custodians for timely processing
• Develop, maintain, and update training materials, guides, and procedures related to account opening
• Offer research support and general assistance regarding account opening
• Work with custodians on policy or system changes, communicating with manager and colleagues appropriately.
• Respond promptly to inquiries and provide information as needed
• Perform other duties as assigned by the manager

Required Skills/Experience

• 2+ year of experience in service or support, preferably within financial services or banking
• Excellent communication and organizational skills
• Robust PC knowledge, typing skills and proficiency in Microsoft suite
• Ability to learn and use multiple systems and platforms

Preferred Skills/Experience

• Bachelor’s degree in finance, business administration, or related field preferred
• Experience with processing or workflow-based system
• Excellent customer service skills with a focus on client satisfaction
• Strong attention to details and accuracy in processing financial transactions
• Prior experience with with Salesforce, Schwab, and/or Fidelity
• Excellent communication skills, both verbal and written

Competencies

• Ability to learn and develop proficiency in a process-driven fast-paced work environment
• Exceptional monitoring and follow-up skills
• Flexibility to adapt to changing priorities and business needs
• Ability to work independently and collaboratively with a team when necessary

Work Authorization & Sponsorship

Applicants must be legally authorized to work in the United States on a full-time basis without requiring employer sponsorship to commence or continue employment at any point in time. Unfortunately, we are not able to provide sponsorship.

EEO Statement

At Sequoia, we value and respect differences in our workforce. We actively encourage everyone to apply. Sequoia is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.

Working Conditions

Frequent minimal physical effort such as sitting, prolonged periods working on a computer, standing and walking is required for this role. Depending on location, occasional moving and lifting light equipment and/or furniture may be required. This role may require occasional travel, including travel to client sites, company offices, or industry events, as needed.

Employer Rights

This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate your employment at any time for any reason.