Advisor Services Associate

Simplicity Group; San Diego (CA); On-site; USD 60,000 - 75,000; Full time

Benefits offered by this job

Medical, dental, vision

401k with employer match

Paid Time Off

Paid parking

Job summary

Simplicity Wealth - Advisor Services Group is seeking an Advisor Services Associate in San Diego to deliver premier service to financial advisors while preserving operational integrity of the wealth platform.

You will coordinate between advisors, the Firm, and custodians, handling account openings, transfers, and complex money movements with precision and speed.

Qualifications

• Bachelor’s degree or equivalent professional experience.
• 2+ years in an RIA, TAMP, or financial services environment, operations or advisor transitions.
• 2+ years with major custodial platforms (Schwab/TD Ameritrade, Pershing, or Fidelity).
• Deep understanding of the ACATS process, cost-basis transfer, and asset transitions.
• Mastery of Wealth Management platforms/CRMs (Orion, Salesforce, Redtail) and DocuSign workflows.

Responsibilities

• Oversee full account lifecycle, including new account paperwork, ACATS/transfers, and NIGO resolutions.
• Provide white-glove support for money movement (Wires, ACH, Journals) and RMD processing.
• Liaise with custodial partners (Schwab, Fidelity, etc.) to expedite service requests.
• Execute investment operations tasks, process trade requests, and support portfolio rebalancing.
• Educate advisory teams on workflows and proprietary tech stack.

Skills

ACATS process

Wealth Management platforms/CRMs

DocuSign workflows

Custodial operations

Money movement operations

Education

Bachelor’s degree or equivalent professional experience

Tools

Orion

Salesforce

Redtail

Job description

Reports to: Vice President

Department: Simplicity Wealth - Advisor Services Group

Classification: Full-time, exempt

Summary / Job Objective: The Advisor Services Associate is a dual-impact role responsible for delivering a premier service experience to our financial advisors while maintaining the operational integrity of our wealth management platform. You will act as the primary liaison between the Advisor, the Firm, and the Custodian, ensuring that every client request—from account opening to complex money movement is handled with precision and speed.

Primary Responsibilities

• Full-Cycle Account Management: Oversee the entire account lifecycle, including preparation of new account paperwork, processing of ACATS/transfers, and handling "Not In Good Order" (NIGO) resolutions.
• Operational Concierge: Serve as the first point of contact for advisors regarding operational inquiries, providing "white-glove" support for money movement (Wires, ACH, Journals) and RMD processing.
• Custodial Operations: Manage daily interactions with custodial partners (Schwab, Fidelity, etc.) to advocate for advisor needs and expedite pending service requests.
• Trade & Portfolio Administration: Execute investment operations tasks, including processing trade requests, portfolio rebalancing support, and maintaining accurate account attributes in the billing and reporting systems.
• Training & Empowerment: Educate new advisory teams on the firm’s operational workflows and proprietary tech stack to ensure they can navigate our systems independently.
• Risk & Compliance Oversight: Ensure all client service activities adhere to firm and SEC/FINRA regulations, specifically regarding identity verification and secure money movement.

Qualifications

• Education: Bachelor’s degree or equivalent professional experience.
• Industry Experience: 2+ years within an RIA, TAMP, or financial servicesenvironment, specifically focused on operations or advisor transitions.
• Custodial Mastery: 2+ years of hands-on experience with major custodial platforms (Schwab/TD Ameritrade, Pershing, or Fidelity).
• Specialized Knowledge: Deep understanding of the ACATS process, cost-basis transfer, and the regulatory nuances of transitioning client assets.
• Technical Skill: Mastery of Wealth Management platforms/CRMs (Orion, Salesforce, Redtail) and digital signature workflows (DocuSign).

Core Competencies

• Service Excellence: A "client-first" mentality with the ability to turn complex operational hurdles into positive service outcomes.
• Operational Discipline: High attention to detail; you are the person who catches the small error before it becomes a large problem.
• Multitasking Mastery: Ability to pivot between a phone call with an advisor and a complex money movement task without losing accuracy.
• Ownership: A proactive approach to following up on open items until they are fully resolved.

Compensation & Benefits

• Compensation will be based on experience.
• Salary Range: $60,000 to $75,000
• Annual Performance Bonus Target: 10%
• Employee benefits (medical, dental, vision, life insurance, other)
• 401k with employer match
• Paid Time Off
• Paid parking

Location: 11512 El Camino Real, San Diego, CA 92130; this is an in-office position

Company Description

Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.

Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.

For more information, please visit simplicitygroup.com.