Wealth Management Operations Associate

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

Job summary

Ascendo-Resources is seeking a detail-oriented Operations Associate to support daily brokerage operations and account administration in a growing independent broker-dealer within wealth management. You will assist with new accounts, ACAT transfers, money movements, and servicing for financial advisors.

The role emphasizes accuracy, regulatory compliance, and strong collaboration with custodians and internal teams to resolve operational issues and ensure timely processing.

Qualifications

• 2+ years of experience in brokerage operations or wealth management operations.
• Familiarity with FINRA regulations and brokerage compliance procedures.
• FINRA Series 7 is a plus but not required.

Responsibilities

• Process new account openings and ACAT transfers.
• Facilitate money movements (wires, ACH, journals, distributions).
• Support financial advisors with operational requests and inquiries.
• Review account documentation for accuracy and compliance with policies and regulations.
• Assist with trade inquiries, processing, and settlement issues.
• Coordinate with custodians and clearing firms to resolve issues.
• Process client account updates and service requests.
• Maintain accurate client records and timely processing of transactions.
• Identify and resolve discrepancies and processing exceptions.
• Collaborate with compliance and supervisory teams to ensure policy adherence.

Skills

Brokerage ops

Wealth mgmt ops

Attention to detail

Communication

Multitasking

Tools

Pershing

Fidelity

Schwab

Microsoft Office

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.