Brokerage Operations Specialist – Onboarding & Compliance

Hunter Associates LLC; Pittsburgh (Allegheny County); On-site; USD 65,000 - 90,000; Full time

Job summary

Hunter Associates LLC, a Pittsburgh-based wealth management firm, seeks an Operations Specialist to manage client accounts on Pershing NetX360 and Schwab Advisor Center. You will support onboarding, transfers, and governance while partnering with Compliance to ensure accuracy and regulatory alignment.

The role emphasizes hybrid operations, problem solving before client impact, and process improvements. Strong communication and attention to detail are essential for success in a collaborative team

Qualifications

• 3 to 5 years of operations experience at a broker-dealer, RIA, hybrid firm, or custodian.
• Hands-on experience with Pershing NetX360 and Schwab Advisor Center; both preferred.
• Solid knowledge of account types (individual, joint, IRA, trust, estate, entity) and required documentation.
• Working knowledge of FINRA and SEC rules affecting daily operations, including records, custody, and client privacy.
• SIE and Series 99 required, or ability to obtain within 90 days of hire; Series 7 and 63 are a plus.
• Bachelor's degree or equivalent experience.

Responsibilities

• Onboard and maintain client accounts across Pershing NetX360 and Schwab Advisor Center.
• Process wires, ACH transfers, checks, journals, and distributions with proper verification.
• Maintain standing letters of authorization and support Compliance during exams.
• Assist in monitoring retirement account activity and tax withholdings.
• Collaborate with Compliance to detect fraud and protect vulnerable clients.
• Review daily exception reports and resolve transfers, returns, and cash debits.
• Create and update standard operating procedures; support audits and regulatory exams.
• Assist advisor teams to ensure paperwork accuracy and timely processing.

Skills

Broker-dealer experience

Operations experience

Attention to detail

Written and verbal communication

Collaboration

Software proficiency

Process improvement

Adaptability

Education

Bachelor's degree or equivalent experience

SIE

Series 99

Series 7

Series 63

Tools

Pershing NetX360

Schwab Advisor Center

Job description

Hunter Associates LLC, a Pittsburgh-based wealth management firm, seeks an Operations Specialist to manage client accounts on Pershing NetX360 and Schwab Advisor Center. You will support onboarding, transfers, and governance while partnering with Compliance to ensure accuracy and regulatory alignment.

The role emphasizes hybrid operations, problem solving before client impact, and process improvements. Strong communication and attention to detail are essential for success in a collaborative team