Client Service & Operations Associate (New York)

COMPENSATION & BENEFITS: $120,000 – $140,000 annually, based on experience.401(k) planHealth insuranceDental and vision coveragePaid time offCareer growth opportunity to advance into an Operations Manager or Financial Advisor roleThis role supports our financial advisors by managing the day-to-day operational and client service functions of the practice, from new account opening through ongoing account servicing, reporting, and compliance recordkeeping. NEW ACCOUNTS & ONBOARDINGOpen new accounts in Wealthscape — individual, joint, trust, entity, IRA, Roth, inherited IRA, and 529 registrationsRoute documents through eSignature (DocuSign) and track envelope status to completionReview submissions for NIGO items, work Wealthscape requirements and alerts, and follow up with Fidelity service teams until accounts are in good orderInitiate and monitor ACATS and non-ACATS transfers using the Transfer of Assets tool; track through funding and notify advisors of delays or rejectsVerify CIP/KYC documentation and establish client records in the CRMEnroll clients in Wealthscape Investor, eDelivery, checkwriting, and debit card featuresACCOUNT SERVICING & MAINTENANCEProcess address, beneficiary, registration, and standing instruction updatesSet up and process money movement: EFT/ACH, wires, journals (book-to-book), contributions, distributions, and RMDsHandle Roth conversions, 60-day rollovers, and IRA recharacterizationsProcess date-of-death transfers, inherited IRA setups, and account closuresComplete margin and options agreements; monitor and resolve Reg T and cash account callsServe as day-to-day contact for client service requests, portal access, and login or technical issuesSupport alternative investment paperwork and custody documentationDATA, REPORTING & BILLINGRun and submit advisory fee billing through Wealthscape; verify fee schedules and reconcile fees receivedAssist clients and advisors with statements, trade confirms, and tax forms (1099, 5498, 1099-R)COMPLIANCE & RECORDKEEPINGMaintain books and records in accordance with the firm's written supervisory proceduresEnsure advisory agreements, Form ADV/CRS delivery, and required disclosures are documented and currentSupport annual compliance reviews, mock audits, and regulatory or custodian requestsEscalate exceptions, suspicious activity, and senior or vulnerable client concerns to the Chief Compliance OfficerPROCESS & SYSTEMSBuild and maintain CRM workflows; keep client and household data accurateDocument and update standard operating procedures for recurring operational tasksServe as primary liaison with Fidelity Institutional service, relationship, and transition teamsSupport integrations between Wealthscape and firm systems via Integration XchangeIdentify and implement improvements to reduce turnaround time and error ratesQUALIFICATIONS3+ years of operations or client service experience supporting financial advisorsHands-on experience with Fidelity/NFS Wealthscape strongly preferredProficiency with CRM and portfolio accounting/reporting systems; strong Excel skillsHigh attention to detail with the ability to manage multiple time-sensitive requestsClear written and verbal communication with clients, advisors, and custodian service teamsBachelor's degree preferredSeries 7 and Series 66 (or Series 65/63) licenses are a major plus.