Operations and Document Specialist

BFS Advisory Group is seeking a detail-oriented and proactive Operations and Document Specialist to serve as the operational backbone of our client service and back-office functions. This role is responsible for managing the end-to-end paperwork lifecycle across all business lines, ensuring that client accounts, investment transactions, and insurance and annuity applications are processed accurately, compliantly, and on time.

The Operations & Document Specialist serves as the primary liaison between BFS Advisory Group, our custodial back office (New Edge Advisors / New Edge Securities), investment companies, annuity and insurance carriers, and clients. This is a high-accountability role that requires excellent organizational skills, follow-through, and the professionalism to communicate clearly across multiple stakeholders simultaneously.

The ideal candidate thrives in a structured, process-driven environment, takes ownership of tasks from initiation through completion, and has a track record of managing complex paperwork workflows with precision and urgency. This role upholds BFS Advisory Group's core values of Integrity, Empathy, Future Focus, Independence, and Authenticity in every client and partner interaction.

• Prepare, submit, and track all custodial paperwork through New Edge Advisors and New Edge Securities, Fidelity, and Schwab platforms
• Initiate and monitor ACAT transfers, in-kind transfers, direct rollovers, indirect rollovers, IRA contributions, and 1035 exchanges
• Execute money movement requests: wires, ACH transfers, checks, internal journals, and distributions—ensuring compliance with firm and custodian requirements
• Track all pending and outstanding paperwork to completion; proactively follow up with custodians and escalates delays
• Maintain current and accurate client account data across all custodial platforms, including beneficiary designations, account titles, and risk profiles

• Prepare and submit paperwork for mutual fund, separately managed account (SMA), and alternative investment subscriptions and redemptions
• Complete and track required documentation for investment companies, fund administrators, and third-party money managers
• Coordinate delivery of subscription documents, investor questionnaires, wire instructions, and KYC/AML documentation
• Maintain records for all investment company relationships and outstanding transactions

• Prepare and submit annuity applications (fixed, fixed indexed, variable) and life insurance applications to the appropriate carriers
• Coordinate suitability documentation, replacement forms (1035 exchanges), and state-required disclosures
• Track application status with carriers from submission through policy issuance; communicate updates to advisors and clients
• Process annuity contribution, withdrawal, and surrender requests; manage required minimum distribution (RMD) paperwork for annuity contracts
• Maintain licensing and carrier appointment documentation in coordination with the compliance team
• Manage correspondence with annuity and insurance carrier back offices and case managers
• Prepare all client-facing documents for review, signature, and execution using Docu Sign and wet-signature workflows
• Guide clients through paperwork requirements in a clear, professional, and empathetic manner
• Coordinate with clients to gather required information, identification, and signatures on a timely basis
• Track client document completion status and follow up proactively to avoid processing delays
• Maintain accurate, organized digital client files and documentation in compliance with firm retention policies

• Ensure all paperwork is completed in accordance with FINRA, SEC, and state regulatory requirements
• Maintain data integrity across CRM (Redtail), custodial platforms, and document management systems
• Support annual compliance reviews, audits, and regulatory filings by maintaining organized and current records
• Adhere to firm policies on client confidentiality, privacy, and information security
• Partner with advisors to anticipate and…