Centralized Wealth Advisory Services, Associate

Concurrent; Dallas (TX); On-site; USD 65,000 - 90,000; Full time

Job summary

A leading company in wealth advisory services is seeking a detail-oriented Associate to support Financial Advisors in their Dallas office. The role involves managing client onboardings, ensuring regulatory compliance, and assisting in project management tasks. Ideal candidates will possess strong organizational skills, a proactive mindset, and the ability to thrive in a fast-paced environment.

Benefits

401(k) matching

Dental Insurance

Disability insurance

Employee assistance program

Flexible schedule

Health insurance

Paid time off

Vision insurance

Qualifications

• Minimum three years of experience in financial services.
• Strong proficiency in organizational, communication, and time management skills.
• Detail-oriented with experience in account management and compliance.

Responsibilities

• Serve as the primary point of contact for client account maintenance.
• Assist with account management and ensure compliance.
• Manage client onboarding and maintain precise client records.

Skills

Organizational skills

Communication

Time management

Detail-oriented

Problem resolution

Tools

MS Office

CRM systems

Job description

Centralized Wealth Advisory Services, Associate

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Centralized Wealth Advisory Services, Associate

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Department: Centralized Wealth Advisory Services

Employment Type: Full Time

Location: Dallas, TX

Compensation: $65,000 - $90,000 / year

Description

Position Overview

We are seeking a dedicated and detail-oriented Centralized Wealth Advisory Services (CWAS) Associate to join our team. In this role, you will play a pivotal part in providing exceptional support to Financial Advisors and their clients. This role will also require project management and assistance in building out the CWAS department. The CWAS Associate will manage client onboardings, assist with account management, ensure regulatory compliance, and maintain precise client records. They will manage department projects and maintain key documents for the development of CWAS. This role is based in our Dallas office and involves collaborating with a diverse group of advisors across the country. The ideal candidate will possess strong organizational skills, proactive mindset, and the ability to handle multiple priorities in a fast-paced start up environment. We are looking for a driven individual that wants to help CWAS grow quickly with a variety of career paths available.

Responsibilities

• Client Support: Serve as the primary point of contact for client account maintenance and service requests.
• Account Management: Assist with account opening/closing, monitor accounts for compliance, and resolve account-related issues.
• Financial Planning Assistance: Support Financial Advisors in collecting and inputting client data into financial plans.
• Documentation & Record-Keeping: Process and maintain up-to-date client records, handle documentation, and archive within CRM.
• Compliance: Ensure all client interactions and transactions comply with industry regulations.
• Communication: Maintain clear communication with clients, advisor firms, and internal teams, providing updates on client requests and onboardings.
• Calendar Management: Assistance in scheduling meetings and managing calendars for the CWAS team
• Problem Resolution: Address and escalate client issues, ensuring client satisfaction and retention.
• Education & Training: Become proficient and stay updated on internal technology platform and financial products and services.
• Vendor Collaboration: Coordinate with vendors to process transactions and maintain account accuracy.
• Reporting & Analysis: Generate reports on account activities, provide insights to improve client service and operations.
• Project Management: Organize and track the status of CWAS projects.
  
  

Qualifications

• Experience with both advisory/RIA and brokerage/Broker-Dealer.
• At least three years of experience in financial services, advisory office practices, and custodial operations.
• Excellent organizational and time management skills to handle multiple tasks and meet deadlines.
• Detail-oriented with the ability to maintain accuracy with financial documents.
• Strong communication skills, both verbal and written, to interact effectively at all levels.
• Ability to manage multiple priorities, resolve issues, and provide high-level customer service.
• Proficiency in MS Office software, portfolio accounting reporting tools, and CRM systems.
• Familiarity with investment concepts and industry compliance standards.
• Comfortable with less structured daily routine.
  
  

Job Type / Salary

• Full-time, Exempt
• $65,000-$90,000 base per year, dependent on experience, with additional semi-annual performance bonus opportunities
  
  

Location / Schedule

• This position will work from our Dallas, TX office.
• Working hours are 9am-5pm Monday-Friday.
• Occasional evening/weekend hours may be requested.
• Open to travel up to three times per a year.
  
  

Benefits

• 401(k) matching
• Dental Insurance
• Disability insurance
• Employee assistance program
• Flexible schedule
• Flexible spending account
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

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