Job Summary:
NewEdge Advisors is a rapidly growing wealth management firm, made up of independent financial advisors that all share the belief that every client is unique and deserves more than ordinary service. Our mission is to give established advisors more time and resources to focus on their clients and practices. We do this by striving to make our advisors’ challenges our own. Supporting our advisors is our only success.
We provide financial advisors transition support, compliance support, operations support, human resources support, marketing solutions and information technology support so that they can focus their attention where it matters most, their clients. When advisors choose to become independent, many believe that the best way to run their practice efficiently and profitably is through partnership, economies of scale and shared resources. New Edge Advisors serves this market.
NewEdge Advisors is looking for a highly skilled operations and service-minded associate with a positive attitude who enjoys problem-solving and meeting the needs of our advisor base & home office staff. The Client Service Associate – Operations and Onboarding will report directly to the Manager of Operations & Onboarding.
Location: The ideal candidate will be located in New Orleans, LA; Baton Rouge, LA; or Pittsburgh, PA, with the ability to report to the office there. Remote candidates may also be considered.
Responsibilities:
The position of Client Service Associate – Operations and Onboarding is a dynamic role with a diversified number of assigned daily tasks. The primary responsibilities of this job include managing and executing operational and onboarding tasks for existing and new advisors/staff in our multi-custodial RIA. The ideal candidate has excellent customer service skills, strong organizational skills and is self-motivated. Attention to detail and handling multiple priorities is a must. Responsibilities can also include general operations support and the processing of escalated service-related items during advisor transition & ongoing operation at NewEdge Advisors.
This position is responsible for, but not limited to the following duties:
- Deliver exceptional service to NewEdge Advisors’ advisors, staff, and internal teams.
- Serve as an operational resource & subject-matter expert throughout the onboarding and transition to NEA, and ongoing servicing & rep maintenance.
- Execute ongoing operational and onboarding/offboarding tasks required at all custodians for existing and new advisor teams, administrative support, associates, and home-office employees who join via a transition or through mergers & acquisitions.
- Review and audit internal systems to ensure data accuracy and consistency.
- Understand custodial platforms to guide new advisors and staff on high-level platform navigation, ensuring a smooth onboarding process.
- Review and process service alerts sent by the clearing firms.
- Document workflows where applicable.
- Liaise with vendors, custodians and back office on advisor-specific operational issues.
- Collaborate with the NEA account administration team to resolve account restrictions and/or service alerts.
- Update playbooks and conduct training sessions for representatives and office staff to enhance their familiarity and use of custodial and RIA systems.
- Execute requests for advisors onboarding at secondary custodian(s).
- Manage cases via the Salesforce or other case management system cases queue.
- Perform other operational duties as assigned by NewEdge Advisors Operations leadership.
Skills & Qualifications:
- 2 to 5 years of financial industry experience or similar experience in an RIA, broker-dealer, custodian or investment advisory firm
- Bachelor’s degree in Finance or other business-related field or equivalent professional experience preferred
- FINRA S6, S7, S65, S66, S99, SIE preferred
- Skill in operating various office and software programs (i.e., Microsoft Office, Salesforce, Adobe Acrobat, Orion, and Monday.com). Exceptional Microsoft Excel skills are highly preferred.
- Experience with multiple custodians a plus; LPL Financial, Fidelity, Schwab, Raymond James, Pershing and/or Goldman Sachs highly preferred
- Ability to communicate professionally in writing or verbally with co-workers, advisors, and other business units as required
- Ability to organize, prioritize, and handle multiple tasks within established timeframes with exceptional attention to detail
- Ability to tackle issues and inquiries for both staff and advisors as if it were their own
- Ability to collaborate and provide recommendations
- Ability to communicate and project a positive, professional attitude with co-workers, customers, and various business contacts in person and over the telephone
- Ability to develop professional relationships and maintain confidentiality
- Ability to investigate, research, and resolve problems
- Ability to pay close attention to detail, work under pressure and meet or exceed deadlines
- FBI background check required
