Brokerage Operations & Client Services Associate

Jobtailor; Gastonia (NC); On-site; USD 60,000 - 85,000; Full time

Job summary

Your Journey Financial Advisors in Gastonia, NC seeks a securities-licensed administrative professional to support broker-dealer operations and advisor service. You will assist advisors, manage account inquiries, and process new accounts, transfers, and servicing tasks while ensuring accuracy and regulatory compliance.

Ideal candidates bring FINRA licenses, several years in brokerage operations, and a client-focused communication style.

Qualifications

• Must hold FINRA Series 7 and 66 licenses (or Series 7, 63, and 65 combination).
• Must maintain registration in all states where support is provided for Your Journey Financial Advisors.
• 3+ years of experience in brokerage, wealth management, RIA, or financial services operations.
• Strong knowledge of brokerage account servicing, investment operations, and advisory account structures.
• Excellent written and verbal communication skills with a client-focused approach to service, responsiveness, and problem-solving.

Responsibilities

• Provide securities-licensed administrative support to Your Journey Financial Advisors.
• Serve as a resource to Financial Advisors and client/members for account inquiries.
• Handle, research, and communicate account-related inquiries.
• Support daily brokerage operations, including new account processing, account servicing, operational support, advisor/client support, process improvement, and securities-related tasks.
• Facilitate brokerage account openings, onboarding, and account transfers.
• Process account servicing transactions, including beneficiary updates, ownership changes, contact information updates, trust/entity account changes, retirement account transactions, and asset movement requests.
• Support brokerage transactions such as distributions, deposits, and stock gifts.
• Prepare account information and documentation for advisor and client appointments.
• Serve as the primary contact for operational inquiries and communicate account status, outstanding items, and service updates.
• Resolve account and operational issues with advisors, clients, custodians, and home office teams.
• Monitor workflows, maintain accurate records, and support compliance, audit, and documentation requirements.
• Deliver advisor and client service and provide backup support for business continuity.
• Identify process improvements, document best practices, support team training, and contribute to advisor and client experience initiatives.
• Report to and be employed by Your Journey Financial Advisors.

Skills

FINRA Series 7 License

FINRA Series 66 License

Client Service

Communication Skills

Team Collaboration

Adaptability

Regulatory Compliance

Tools

Envestnet

Brokerage Trading Platforms

Operational Tools

Business Systems

Technology Platforms

Job description

Your Journey Financial Advisors in Gastonia, NC seeks a securities-licensed administrative professional to support broker-dealer operations and advisor service. You will assist advisors, manage account inquiries, and process new accounts, transfers, and servicing tasks while ensuring accuracy and regulatory compliance.

Ideal candidates bring FINRA licenses, several years in brokerage operations, and a client-focused communication style.