Operations Associate/Supervisor

Northern NJ



  • Onboard new client accounts, including the collection of required documentation and client information
  • Manage day-to-day maintenance of individual client accounts by liaising with portfolio management, trading, legal/compliance and external parties including client’s attorneys and accountants
  • Maintain research and respond to client inquiries and/or problems, including account change requests; escalate issues as appropriate
  • Organize client information, participate in the annual KYC process
  • Assist with the completion and transmission of transaction documents, including preparing transaction documents, reviewing completed/signed transaction documents to ensure compliance and accuracy, establishing, and maintaining file folders, maintaining document copies, processing investment/bank transactions, and communicating with operations/billing and other custodians regarding transaction processing follow-up; and
  • Preparing subscription documents for clients




  • Bachelor’s degree
  • 2-5 years of wealth management and investment operations experience
  • Pass Series 65 examination during first year of employment
  • Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills. Ideally, this person has a vested interest in technology, investment management and in providing operations solutions to a fast-paced team.
  • Advanced Microsoft Office skills with a heavy emphasis on Excel.
  • Solid, detailed understanding of US cash payments infrastructure (ACH, Fedwire, SWIFT) and payment processing (NACHA rules, returns, liabilities)
  • Experience RIA/Wealth Management Systems and CRMs (i.e., Tamarac, Junxure, Morningstar) and custodial systems
  • Experience working with custodians (i.e., Charles Schwab, RBC, Fidelity, Pershing, TD Ameritrade)
  • Experience with Charles Schwab, Fidelity, TD Ameritrade institutional or similar RIA platforms and paperwork preferred






Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 1/8/2021
Salary $75,000 - $90,000 + bonus

    (2MB Max; allowed file formats: doc, docx, pdf, pptx, txt)

    characters left