Operations Associate

Private Advisor Group; Morristown (NJ); On-site; USD 51,000 - 69,000; Full time

Job summary

Private Advisor Group is seeking an Operations Associate to support day-to-day operational execution within a fast-paced RIA environment. You will work closely with advisors and custodial partners to ensure accurate account data, timely processing, and compliant operations.

The role emphasizes data integrity, process improvement, and cross-functional collaboration. Ideal candidates are detail-oriented, proactive, and able to manage multiple priorities while delivering outstanding service.

Qualifications

• 1–3 years of financial services operations experience in a hybrid RIA or broker-dealer environment.
• Experience in wealth management environments preferred.
• Proven ability to manage multiple priorities while delivering accurate results.
• Proficiency with Microsoft Office applications and CRM systems.
• Knowledge of SEC and FINRA requirements is a plus.

Responsibilities

• Support data management and data integrity across internal systems.
• Assist with reconciliations, data validation, and issue investigations.
• Provide operational support to advisors and client service teams.
• Identify opportunities to streamline processes and document best practices.
• Collaborate cross-functionally to support firm initiatives and service model improvements.

Skills

Financial services operations

Strong communication

Adaptability

Multi-tasking

Attention to detail

Education

Series 7/63/65 licenses or willingness to obtain

Tools

Microsoft Office

Salesforce CRM

Job description

This position works closely with advisors, internal colleagues and custodial partners to deliver accurate, timely, and compliant operational support across account lifecycle management, data integrity, and process improvement.The Operations Associate plays a critical role in supporting the day-to-day operational execution of a Registered Investment Advisor (RIA) firm and ensuring a high-quality service experience.The ideal candidate is detail-oriented, proactive, and thrives in a fast-paced, service-driven RIA environment.This position reports to the Director of Operations and is located in the Morristown, NJ area.

Essential Duties and Responsibilities

Systems and Data Management

• Assist with maintenance of accurate client, Advisor and account data across internal systems
• Assist with reconciliations and data validation efforts and investigate discrepancies
• Support operational reporting and data audits
• Support system enhancements, upgrades and workflow optimization efforts
• Maintain records and documentation

Advisor and Client Service Support

• Serve as an operational resource to advisors and client service teams
• Respond to operational inquiries
• Coordinate with advisors, colleagues and custodial partners to resolve operational issues efficiently and professionally
• Escalate potential operational risks and service trends in a timely and appropriate manner

Process Improvement

• Identify opportunities to streamline operational processes and recommend improvements
• Assist with documenting and updating operational procedures and workflows
• Contribute to operational best practices that support scalability and consistency
• Collaborate cross-functionally to support firm initiatives, growth, and service model enhancements

Required Qualifications

• 1–3 years of financial services operations experience in a hybrid RIA or broker-dealer environment
• Familiarity with RIA or wealth management environments
• Contribute to scalable operational best practices supporting firm growth
• Ability to manage multiple priorities
• Proficiency with Microsoft Office applications
• Operational excellence and accountability
• Strong communication skills and follow-through
• Adaptability in a complex, multi-platform environment
• Strong work ethic and accountability
• Process driven with continuous improvement focus
• Willingness to learn and accept feedback

Preferred Qualifications

• Experience with custodians (e.g. LPL Financial, Fidelity, Schwab)
• CRM and portfolio management system experience (e.g. Salesforce)
• Knowledge of SEC and FINRA requirements
• Series 7, 63, and/or 65 (or 66) licenses or willingness to obtain

Performance Measures

• Timely and accurate transaction processing
• Reduction in operational errors and NIGOs
• Responsiveness to internal and advisor service requests
• Contribution to improved workflows and scalable processes

Compensation

Annual salary $60,000, with the potential to earn a bonus.