Wealth Management Operations Specialist

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

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.