Brokerage Operations Specialist

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 52,000 - 76,000; Full time

Job summary

Ascendo Resources seeks an Operations Associate to support daily brokerage operations and account administration in a growing wealth management environment. You will handle account openings, transfers, money movements, and advisor servicing with a strong focus on accuracy and regulatory adherence.

The role requires experience in brokerage operations, familiarity with custodians, and excellent organizational and communication skills.

Qualifications

• 2+ years of experience in brokerage operations or wealth management.
• Experience with independent broker-dealers, RIAs, or wealth management firms preferred.
• Familiarity with FINRA and brokerage compliance.
• Experience with clearing firms or custodians such as Pershing, Fidelity, Schwab, or National Financial Services is a plus.
• Strong organizational skills and attention to detail.
• Excellent communication and problem-solving abilities.
• Proficiency in Microsoft Office and financial services platforms.
• FINRA Series 7 is a plus but not required.

Responsibilities

• Process new account openings, transfers (ACATs), maintenance requests.
• Facilitate wires, ACH transfers, journals, and distributions.
• Support financial advisors with operational requests and account inquiries.
• Review account documentation for accuracy and regulatory compliance.
• Assist with trade inquiries, processing, and settlements.
• Coordinate with custodians and internal departments to resolve issues.
• Process client account updates, beneficiary changes, and service requests.
• Maintain accurate client records and timely processing of transactions.
• Identify and resolve account discrepancies and processing exceptions.
• Collaborate with compliance and supervisory teams on FINRA/SEC policies.

Skills

Brokerage ops

Account admin

Regulatory compliance

Communications

MS Office

Tools

Microsoft Office

Job description

Ascendo Resources seeks an Operations Associate to support daily brokerage operations and account administration in a growing wealth management environment. You will handle account openings, transfers, money movements, and advisor servicing with a strong focus on accuracy and regulatory adherence.

The role requires experience in brokerage operations, familiarity with custodians, and excellent organizational and communication skills.