Operations Associate - Wealth Management

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 55,000 - 75,000; Full time

Job summary

Ascendo Resources, LLC seeks a detail-oriented Operations Associate to join a growing independent broker-dealer in the wealth management industry. You will support daily brokerage operations, account administration, transaction processing, and financial advisor servicing.

Responsibilities include processing new accounts and ACAT transfers, facilitating wires and journals, reviewing documentation, and assisting with trade inquiries and settlements.

Qualifications

• 2+ years in brokerage or wealth management operations.
• Experience at independent broker-dealer, RIA, or wealth firm preferred.
• Familiarity with brokerage account ops, new accounts, ACAT transfers and money movements.
• Experience with clearing firms or custodians is a plus.
• Understanding of FINRA regulations and brokerage compliance.
• Strong organization, detail-orientation, and multi-tasking ability.
• Excellent communication and problem-solving skills.
• Proficiency in Microsoft Office and financial services platforms.

Responsibilities

• Process new accounts, ACATs, maintenance requests and documentation.
• Handle money movements: wires, ACH, journals, distributions.
• Support advisors with operational requests and inquiries.
• Review account documentation for accuracy and compliance.
• Assist with trade inquiries, processing and settlement issues.
• Coordinate with custodians, clearing firms, and internal teams.
• Process client account updates and beneficiary changes.
• Maintain accurate client records and timely processing.
• Identify and resolve discrepancies and processing exceptions.
• Collaborate with compliance and supervisory teams on FINRA/SEC policies.

Skills

Brokerage operations

ACAT transfers

Money movement

Account maintenance

Customer service

Regulatory knowledge

Communication

Microsoft Office

Tools

Pershing

Fidelity

Schwab

National Financial Services

Job description

We are seeking a detail-oriented and motivatedOperations Associateto join a growing independent broker-dealer within the wealth management industry. This individual will support daily brokerage operations, account administration, transaction processing, and financial advisor servicing.

Responsibilities

• Process new account openings, account transfers (ACATs), account maintenance requests, and documentation.
• Facilitate money movements, including wires, ACH transfers, journals, and distributions.
• Support financial advisors and registered representatives with operational requests and account-related inquiries.
• Review account documentation for accuracy, completeness, and compliance with internal policies and regulatory requirements.
• Assist with trade-related inquiries, transaction processing, and settlement issues.
• Coordinate with custodians, clearing firms, and internal departments to resolve operational matters.
• Process client account updates, beneficiary changes, and other service requests.
• Maintain accurate client records and ensure timely processing of operational transactions.
• Identify and resolve account discrepancies, operational issues, and processing exceptions.
• Collaborate with compliance and supervisory teams to ensure adherence to FINRA, SEC, and firm policies.

Qualifications

• 2+ years of experience in brokerage operations, wealth management operations, or financial services.
• Previous experience working within an independent broker-dealer, RIA, or wealth management firm preferred.
• Strong understanding of brokerage account operations, new accounts, ACAT transfers, and money movement processes.
• Experience working with clearing firms or custodians such as Pershing, Fidelity, Schwab, or National Financial Services is a plus.
• Familiarity with FINRA regulations and brokerage compliance procedures.
• Strong organizational skills, attention to detail, and ability to manage multiple priorities.
• Excellent communication and problem-solving abilities.
• Proficiency in Microsoft Office and financial services platforms.
• FINRA Series 7 is a plus but not required.