Account Operations Specialist, Officer

Who we are looking for Wealth Custody and Clearing is seeking an experienced Officer, Account Operations Specialist to support the execution of core account lifecycle operations across our introducing broker-dealer platform. This role operates within the Account Operations team and is responsible for the review, approval, and ongoing maintenance of client accounts, ensuring all activities are performed accurately, compliantly, and in alignment with firm standards.

This role is ideal for a hands-on operator with deep expertise in account onboarding, documentation requirements, and lifecycle servicing workflows. The Officer serves as an important operational control point within the operating model, ensuring accounts are established correctly and maintained with a high degree of precision and regulatory discipline.

We are seeking an individual who thrives in a dynamic, growth-oriented environment, with the ability to operate across multiple functions while the platform scales.

This role offers a unique opportunity to gain broad exposure across account operations domains and evolve into a leadership role aligned to those functions over time.

This individual will also play a critical role in supporting a high-touch, advisor-facing service model while contributing to the adoption of automation, AI-enabled workflows, and digital-first servicing capabilities to help scale the platform efficiently.

Why this role is important to usAs Wealth Custody and Clearing scales, the accuracy and integrity of account onboarding and maintenance activities are foundational to client trust, regulatory compliance, and operational efficiency. This role ensures that accounts are reviewed and maintained correctly at each stage of the lifecycle, directly supporting all downstream servicing, trading, and cash movement activities.

This role is critical to ensure:
• New accounts are reviewed and approved with a high degree of accuracy and completeness
• Ongoing account changes are handled with precision, control, and appropriate supervisory oversight
• Complex or sensitive lifecycle events are executed in a compliant, timely, and well-controlled manner

In close partnership with Client Service and other operational functions, this role helps enable a model where routine activities are efficiently processed while complex or high-risk scenarios receive the appropriate level of expertise and oversight.

What you will be responsible for
• Review new-account submissions for completeness and accuracy, resolve documentation deficiencies, and route accounts for required approval before establishment
• Perform detailed operational review of new and existing accounts; prepare complete cases for required supervisory or Series 24 principal approval and escalate exceptions appropriately
• Execute and support account maintenance activities, including ownership changes, beneficiary updates, registrations, and account attribute modifications
• Support and manage complex account structures, including trusts, estates, corporate entities, partnerships, and multi-party accounts
• Assist with lifecycle events, including death processing, estate distributions, and ownership transitions
• Ensure accurate capture and maintenance of beneficial ownership, control persons, authorized parties, and tax documentation (W 9/W
8)
• Partner closely with Client Service and advisors to address inquiries, resolve issues, and clarify documentation requirements
• Support inbound advisor requests, delivering timely, accurate, and high-quality servicing for both standard and non-standard scenarios
• Identify, assess, and escalate risk, documentation gaps, or inconsistencies in accordance with supervisory expectations
• Assist in processing and supporting ACATS and…