Operations Associate

This position works closely with advisors, internal colleagues and custodial partners to deliver accurate, timely, and compliant operational support across account lifecycle management, data integrity, and process improvement. The Operations Associate plays a critical role in supporting the day-to-day operational execution of a Registered Investment Advisor (RIA) firm and ensuring a high-quality service experience. The ideal candidate is detail-oriented, proactive, and thrives in a fast-paced, service-driven RIA environment.

This position reports to the Director of Operations and is located in the Morristown, NJ area.

• Assist with maintenance of accurate client, Advisor and account data across internal systems
• Assist with reconciliations and data validation efforts and investigate discrepancies
• Support operational reporting and data audits
• Support system enhancements, upgrades and workflow optimization efforts
• Maintain records and documentation

• Serve as an operational resource to advisors and client service teams
• Respond to operational inquiries
• Coordinate with advisors, colleagues and custodial partners to resolve operational issues efficiently and professionally
• Escalate potential operational risks and service trends in a timely and appropriate manner

• Identify opportunities to streamline operational processes and recommend improvements
• Assist with documenting and updating operational procedures and workflows
• Contribute to operational best practices that support scalability and consistency
• Collaborate cross-functionally to support firm initiatives, growth, and service model enhancements

• 1–3 years of financial services operations experience in a hybrid RIA or broker-dealer environment
• Familiarity with RIA or wealth management environments
• Contribute to scalable operational best practices supporting firm growth
• Ability to manage multiple priorities
• Proficiency with Microsoft Office applications
• Operational excellence and accountability
• Strong communication skills and follow-through
• Adaptability in a complex, multi-platform environment
• Strong work ethic and accountability
• Process driven with continuous improvement focus
• Willingness to learn and accept feedback

• Experience with custodians (e.g. LPL Financial, Fidelity, Schwab)
• CRM and portfolio management system experience (e.g. Salesforce)
• Knowledge of SEC and FINRA requirements
• Series 7, 63, and/or 65 (or 66) licenses or willingness to obtain

• Timely and accurate transaction processing
• Reduction in operational errors and NIGOs
• Responsiveness to internal and advisor service requests
• Contribution to improved workflows and scalable processes

Salary 50k-60k depending on experience.

This is a full-time onsite position, will consider hybrid/remote arrangement.