Operations Associate â Wealth Management & Financial Planning
Operations Associate â Wealth Management & Financial Planning
Posted on :
24-07-2025
Employer Active
1 Vacancy
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Monthly Salary
$ 50000 - 70000
Vacancy
1 Vacancy
Posted on :
24-07-2025
Job Description
Job Title: Operations Associate Wealth Management & Financial PlanningCompany Overview:
TES Staffing is supporting an independent comprehensive financial planning and wealth management firm serving affluent families individuals and business owners across the greater Rochester area. With approximately $470M in managed assets plus a thriving insurance practice they help clients understand their goals implement personalized plans and live the lives they truly want.
This organization believes in truth over harmony learning from mistakes and pitching in wherever needed whether thats running million-dollar trades or restocking the breakroom.
Position Summary:
The Operations Associate plays a mission-critical role supporting all day-to-day investment and insurance operations; from new client onboarding to detailed account management. Youll work side-by-side with senior team members to ensure every transaction is precise compliant and delivered with the highest standard of client care.
This is a pure operations role no commission no book of business no sales targets just a deep commitment to getting the details right every time.
Key Responsibilities:
Schedule & Work Environment:
Benefits:
Who Were Looking For:
TES Staffing is supporting an independent comprehensive financial planning and wealth management firm serving affluent families individuals and business owners across the greater Rochester area. With approximately $470M in managed assets plus a thriving insurance practice they help clients understand their goals implement personalized plans and live the lives they truly want.
This organization believes in truth over harmony learning from mistakes and pitching in wherever needed whether thats running million-dollar trades or restocking the breakroom.
Position Summary:
The Operations Associate plays a mission-critical role supporting all day-to-day investment and insurance operations; from new client onboarding to detailed account management. Youll work side-by-side with senior team members to ensure every transaction is precise compliant and delivered with the highest standard of client care.
This is a pure operations role no commission no book of business no sales targets just a deep commitment to getting the details right every time.
Key Responsibilities:
- Be a Trusted Team Player: Support advisors operations teammates and the Director of Operations to deliver an exceptional client experience.
- New Client Onboarding: Prepare paperwork send for e-signature manage incoming account transfers create asset movement instructions and monitor insurance applications through underwriting.
- Investment Operations: Maintain and update accounts (beneficiary billing bank and profile changes) process contributions distributions fund transfers execute trades (mutual funds ETFs stocks) manage systematic trading instructions and handle annuity service requests.
- Insurance Operations: Prepare and track insurance service requests policy changes loans billing updates and beneficiary changes
- Client Communication: Communicate with clients primarily via phone and email to ensure accurate timely service.
- 1 year of experience in financial services operations client service or a related high-detail administrative role.
- Bachelors degree strongly preferred.
- Must obtain Life Accident & Health SIE Series 7 and Series 63 licenses within 2 years if not already held (study time materials exams and fees fully covered).
- Must be comfortable working on a computer; multiple systems and processes are used daily.
- Strong problem-solving skills and initiative.
- Proven knack for operations and precision.
- Clear professional written and verbal communication skills.
- Ability to manage details under pressure in a fast-paced environment.
Schedule & Work Environment:
- MondayFriday 8:00 AM4:30 PM
- 100% in-office for the first 6 months. After that eligible for 12 days/week remote.
- Business casual dress polished but approachable.
- Base salary range: $50000$70000 depending on experience and licenses held.
- Annual performance bonuses and reviews up to 15% increase annually.
- Full study time and fees for licensing and continuing education paid by the firm.
- Clear development plan: 90-day check-ins quarterly goals with the CEO and room to grow
- Proven leadership growth: The COO started as an assistant!
Benefits:
- Medical insurance: 100% covered for the employee with Vision and Dental at minimal employee cost.
- 401(k) with up to 4% match.
- Group life and disability insurance.
- Paid time off: goal is for each employee to take 5 weeks off each year (unlimited PTO policy after 3 years).
- Paid travel for conferences and professional development.
- Team outings and a tight-knit supportive culture.
Who Were Looking For:
- A true operations professional who gets satisfaction from helping others succeed.
- A detail-driven organized person who takes ownership of tasks and learns from mistakes.
- Someone comfortable with open honest communication.
- A supportive teammate who sees no task as beneath them.
Required Experience:
IC
Employment Type
Full Time
Key Skills
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