Client Service & Operations Associate

Wall Street Alliance Group; New York (NY); On-site; USD 120,000 - 140,000; Full time

Benefits offered by this job

Dental and vision coverage

Paid time off

Career growth into Operations Manager或

Job summary

Wall Street Alliance Group in New York seeks an experienced Operations Servicing specialist to support our financial advisors from new account openings through ongoing account servicing, reporting, and compliance recordkeeping.

Key duties include opening accounts in Wealthscape, routing documents via DocuSign, managing transfers, CIP/KYC, CRM data, fees billing, and maintaining strong client service and regulatory standards.

Qualifications

• 3+ years of operations or client service experience supporting financial advisors.
• Hands-on experience with Fidelity/NFS Wealthscape strongly preferred.
• Proficiency with CRM and portfolio accounting/reporting systems; strong Excel skills.
• High attention to detail with the ability to manage multiple time-sensitive requests.
• Clear written and verbal communication with clients, advisors, and custodian service teams.
• Bachelor's degree preferred.
• Series 7 and Series 66 licenses are a major plus.

Responsibilities

• Open new accounts in Wealthscape — individual, joint, trust, entity, IRA, Roth, inherited IRA, and 529 registrations.
• Route documents through eSignature and track envelope status to completion.
• Review submissions for NIGO items and ensure Wealthscape requirements are met.
• Initiate and monitor ACATS transfers; track funding and notify advisors of delays.
• Verify CIP/KYC documents and establish client records in the CRM.
• Enroll clients in Wealthscape Investor, eDelivery, checkwriting, and debit card features.
• Process address, beneficiary, registration, and standing instruction updates.
• Set up money movement: EFT/ACH, wires, journals; handle Roth conversions and rollovers.
• Maintain books and records; support compliance reviews and disclosures.
• Build CRM workflows and document standard operating procedures; liaise with Fidelity teams.

Skills

Operations experience

CRM proficiency

Excel skills

Client service

Communication skills

Education

Bachelor's degree preferred

Tools

Wealthscape

CRM systems

Job description

$120,000 – $140,000 annually, based on experience.

• Dental and vision coverage
• Paid time off
• Career growth opportunity to advance into an Operations Manager or Financial Advisor role

This role supports our financial advisors by managing the day-to-day operational and client service functions of the practice, from new account opening through ongoing account servicing, reporting, and compliance recordkeeping.

• Open new accounts in Wealthscape — individual, joint, trust, entity, IRA, Roth, inherited IRA, and 529 registrations
• Route documents through eSignature (DocuSign) and track envelope status to completion
• Review submissions for NIGO items, work Wealthscape requirements and alerts, and follow up with Fidelity service teams until accounts are in good order
• Initiate and monitor ACATS and non-ACATS transfers using the Transfer of Assets tool; track through funding and notify advisors of delays or rejects
• Verify CIP/KYC documentation and establish client records in the CRM
• Enroll clients in Wealthscape Investor, eDelivery, checkwriting, and debit card features

ACCOUNT SERVICING & MAINTENANCE

• Process address, beneficiary, registration, and standing instruction updates
• Set up and process money movement: EFT/ACH, wires, journals (book-to-book), contributions, distributions, and RMDs
• Handle Roth conversions, 60-day rollovers, and IRA recharacterizations
• Process date-of-death transfers, inherited IRA setups, and account closures
• Complete margin and options agreements; monitor and resolve Reg T and cash account calls
• Serve as day-to-day contact for client service requests, portal access, and login or technical issues
• Support alternative investment paperwork and custody documentation

DATA, REPORTING & BILLING

• Run and submit advisory fee billing through Wealthscape; verify fee schedules and reconcile fees received
• Assist clients and advisors with statements, trade confirms, and tax forms (1099, 5498, 1099-R)

COMPLIANCE & RECORDKEEPING

• Maintain books and records in accordance with the firm's written supervisory procedures
• Ensure advisory agreements, Form ADV/CRS delivery, and required disclosures are documented and current
• Support annual compliance reviews, mock audits, and regulatory or custodian requests
• Escalate exceptions, suspicious activity, and senior or vulnerable client concerns to the Chief Compliance Officer

PROCESS & SYSTEMS

• Build and maintain CRM workflows; keep client and household data accurate
• Document and update standard operating procedures for recurring operational tasks
• Serve as primary liaison with Fidelity Institutional service, relationship, and transition teams
• Support integrations between Wealthscape and firm systems via Integration Xchange
• Identify and implement improvements to reduce turnaround time and error rates

QUALIFICATIONS

• 3+ years of operations or client service experience supporting financial advisors
• Hands-on experience with Fidelity/NFS Wealthscape strongly preferred
• Proficiency with CRM and portfolio accounting/reporting systems; strong Excel skills
• High attention to detail with the ability to manage multiple time-sensitive requests
• Clear written and verbal communication with clients, advisors, and custodian service teams
• Bachelor's degree preferred

Series 7 and Series 66 (or Series 65/63) licenses are a major plus.