Financial Operations Associate - Account Opening & Maintenance

Financial Operations Associate – Account Opening & Maintenance

Job Summary

We are seeking a detail-oriented Financial Operations Associate to provide operational and administrative support to Financial Advisors (FAs) and Sales Assistants (SAs). The ideal candidate will assist with account opening and maintenance, review client documentation, resolve account-related issues, and ensure compliance with established industry policies and regulatory requirements.

This role requires strong communication skills, a customer-focused approach, attention to detail, and the ability to manage routine operational tasks while proactively addressing issues and maintaining accurate records.

Key Responsibilities

• Provide operational support to Financial Advisors and Sales Assistants regarding account opening, account maintenance, and related inquiries.


• Respond to calls and questions from internal teams, providing accurate information and timely assistance.


• Review client and account documentation to ensure completeness, accuracy, and compliance with industry policies and regulatory requirements, including Anti-Money Laundering (AML) and Know Your Client (KYC).


• Process routine account-related tasks, departmental reports, and workflow requests in accordance with established procedures.


• Analyze account information, identify discrepancies, and determine appropriate corrective actions.


• Follow up with Financial Advisors and Sales Assistants to resolve documentation gaps and account-related issues.


• Maintain detailed records of client requests, communications, and actions taken to ensure timely resolution.


• Review daily tasks for accuracy and completeness while adhering to established policies and procedures.


• Assist with departmental projects, documentation, data analysis, and testing as needed.


• Identify opportunities to improve workflows and operational processes.


• Participate in cross-training and provide support for other operational functions as required.

Required Qualifications and Skills

• High School Diploma or equivalent required; Bachelor's degree preferred.


• Previous experience in banking, financial services, investment operations, brokerage operations, or financial account administration is preferred.


• Working knowledge of Microsoft Office Suite, including Outlook, Word, and Excel.


• Strong written and verbal communication skills.


• Excellent attention to detail and organizational skills.


• Proactive problem-solving abilities and sound judgment when addressing routine operational issues.


• Strong customer service skills and a willingness to go above and beyond to support internal and external customers.


• Ability to maintain a professional demeanor and handle multiple tasks while meeting established deadlines.


• Ability to follow established procedures, maintain accurate documentation, and work effectively in a team-oriented environment.

Ideal Candidate Profile

The ideal candidate will have a background in banking or financial services, with an understanding of financial account documentation, account opening and maintenance, and regulatory compliance. Candidates with experience supporting Financial Advisors, investment professionals, or brokerage operations teams are encouraged to apply.