Job Overview
NewEdge Advisors is a rapidly growing wealth management firm, made up of independent financial advisors that all share the belief that every client is unique and deserves more than ordinary service. Our mission is to give established advisors more time and resources to focus on their clients and practices. We do this by striving to make our advisors’ challenges our own. Supporting our advisors is our only success.
We provide independent financial advisors transition support, compliance support, operations support, human resources support, marketing solutions and information technology support so that they can focus their attention where it matters most, their clients. When advisors choose to become independent, many believe that the best way to run their practice efficiently and profitably is through partnership, economies of scale and shared resources. New Edge Advisors serves this market.
NewEdge Advisors is looking for a highly skilled operations and service-minded associate with a positive attitude who enjoys problem-solving and meeting the needs of our advisor base & home office staff. The Senior Operations & Onboarding Specialist will report directly to the Manager of Operations and work closely with the Managing Director of Operations. The position will ideally be in New Orleans, LA, Baton Rouge, LA, or San Diego, CA. Remote candidates are encouraged to apply.
Job Summary
The Sr. Operations & Onboarding Specialist will be responsible for managing and executing a variety of operational and onboarding tasks for both existing and new advisors, staff, and teams in our multi-custodial RIA. This role requires exceptional customer service skills, strong critical thinking skills, and the capacity to handle multiple priorities effectively. Attention to detail is a must as the position involves supporting advisors during transitions and ongoing service-related operational activities at NewEdge Advisors.
Responsibilities and Duties
Provide exceptional service to the advisors and staff of NewEdge Advisors
Serve as an advocate and resource for advisors and staff throughout their onboarding, transition, and ongoing operations.
Execute operational and onboarding/offboarding tasks required at all custodians for existing and new advisor teams, admins, associates, and home-office employees who join via a transition or through mergers & acquisitions
Review and audit internal systems to ensure data accuracy and consistency
Understand custodial platforms to guide new advisors and staff on high-level platform navigation, ensuring a smooth onboarding process.
Document workflows where applicable
Liaise with vendors, custodians, and back-office teams to address advisor-specific operational issues.
Review and process service alerts sent by the clearing firms
Liaise with the NEA account administration team to resolve account restrictions or service alerts
Update playbooks and conduct training sessions for representatives and office staff to enhance their familiarity and use of custodial and RIA systems
Execute requests for advisors onboarding at secondary custodian(s)
Manage cases via the Salesforce cases queue
Perform other operational duties as assigned by NewEdge Advisors Operations leadership
Qualifications
3 to 8 years of financial industry experience or similar experience in an RIA, broker-dealer, custodian or investment advisory firm
Bachelor’s degree in Finance or other business-related field or equivalent professional experience preferred
FINRA S6, S7, S65, S66, S99, SIE preferred
Skill in operating various office and software programs (i.e., Microsoft Office, Salesforce, Adobe Acrobat, Orion, and Monday.com). Exceptional Microsoft Excel skills are highly preferred.
Experience with multiple custodians a plus; LPL Financial, Fidelity, Schwab, Raymond James, Pershing and/or Goldman Sachs highly preferred
Ability to communicate professionally in writing or verbally with co-workers, advisors, and other business units as required
Ability to organize, prioritize, and handle multiple tasks within established timeframes with exceptional attention to detail
Ability to tackle issues and inquiries for both staff and advisors as if it were their own
Ability to collaborate and provide recommendations
Ability to communicate and project a positive, professional attitude with co-workers, customers, and various business contacts in person and over the telephone
Ability to develop professional relationships and maintain confidentiality
Ability to investigate, research, and resolve problems
Ability to pay close attention to detail, work under pressure and meet or exceed deadlines
FBI background check required
