Financial Services Operations Associate

ACC Recruiters; St. Louis (MO); On-site; USD 55,000 - 75,000; Full time

Job summary

ACC Recruiters is seeking an Operations Associate to handle day‑to‑day duties in Operations. You will work with an experienced operations staff and collaborate with financial advisors, professionals, compliance, and client associates to deliver excellent client service.

The role requires cross training and backup for all operations duties, with responsibilities spanning advisory account processing and direct business commission processing within a brokerage environment.

Qualifications

• 3+ years of experience in financial services (Broker Dealer and/or RIA).
• Series 99 license to be obtained within a mutually agreed upon timeframe.
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook, TEAMS with aptitude for technology.

Responsibilities

• Accurately process advisory account requests in all systems used for advisory fee processing.
• Review and code agreements for advisory accounts with verification of completeness and asset eligibility.
• Calculate advisory fees for monthly cycles and pro‑rated fees, verify vendor calculations and reconcile differences.
• Prepare fee documents and remit to clearing firm for posting to client accounts.
• Understand core systems utilized through the clearing firm.

Skills

Ethical conduct

Strong work ethic

Confidentiality

Collaborative

Communication skills

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

TEAMS

Job description

Operations Associate is responsible for the day-to-day duties of various processes in Operations.

An associate will work with a highly experienced operations staff. The position requires a strong understanding

and of the specific duties assigned. This individual works closely with financial advisors and professionals,

compliance and client associates to provide an excellent level of service to our clients.

This role requires cross training and back up for all operations roles.

Responsibilities – Advisory Account

• Accurately process advisory account requests in all systems used for advisory fee processing.
• Review and code agreements for advisory accounts. This process includes verification that all required information is complete and a review of eligibility of any current assets in accounts for management.
• Ability to accurately calculate advisory fees for each monthly scheduled cycle as well as any pro-rated fees. Review and verification of vendor calculation is necessary. Must be able to identify and reconcile differences.
• Prepare the fee document and remit to our clearing firm to post to each client account.
• Understand core systems utilized through our clearing firm.

Responsibilities – Direct Business Commission Processing

• Create and process file for Financial Advisor/Professional direct business compensation for the manual check and ACH payments received.

Requirements

• Ethical, knowledgeable, fair, reliable, collaborative, ability to maintain confidentiality and possessing a strong work ethic.
• 3+ years of experience in financial services (Broker Dealer and/or RIA)
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook, TEAMs with aptitude for technology
• Series 99 license to be obtained within a mutually agreed upon timeframe
• Strong communication and interpersonal skills to be able to discuss issues with management, home office and branch office personnel.

Qualifications:

Requirements

• Ethical, knowledgeable, fair, reliable, collaborative, ability to maintain confidentiality and possessing a strong work ethic.
• 3+ years of experience in financial services (Broker Dealer and/or RIA)
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook, TEAMs with aptitude for technology
• Series 99 license to be obtained within a mutually agreed upon timeframe
• Strong communication and interpersonal skills to be able to discuss issues with management, home office and branch office personnel.