Wealth Management Operations Associate

Ascendo Resources, LLC; 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

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.