Sr. Operations Associate, Specialized Strategies

Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2024.

SUMMARY:

The Operations Representative is responsible for enrolling clients in complex investment strategies. This position requires cross-functional communication, working closely with investments, trading, operations, client service, and advisors. This is an excellent opportunity for a professional who loves serving others, has a proven track record of extreme attention to detail, and wants to work in a fast-paced, challenging, team-oriented, and rewarding environment. This is a Full-Time, Non-Exempt position that requires in-office work in either our Addison, TX office or Indianapolis, Indiana.

DUTIES AND RESPONSIBILITIES:

• Create and process paperwork for specialized investment strategies, including but not limited to tax-smart trading, stock options, separately managed accounts, unified managed accounts, alternative assets, and structured notes.

• Assist and/or provide guidance to Advisor regarding onboarding process.

• Fulfill client requests by prioritizing and completing tasks within a queue.

• Collaborate with advisors and client relationship specialists to complete requested tasks.

• Facilitates the delivery of paperwork to the client through DocuSign or mail/overnight packages.

• Reviews and quality checks completed paperwork to limit errors.

• Identify and collaborate on areas to improve the third-party product enrollment process.

• Submits and processes paperwork directly to the appropriate custodians, and monitors through completion to ensure proper account setup for the specialized strategy.

• Provide status updates through the completion of the task assigned.

• Focuses on quality and accuracy of work.

• Willing to travel to a centralized location for initial in-person training.

• Consistently demonstrating Allworth’s guiding principles.

• Maintains satisfactory attendance.

• Any other duties as assigned.

QUALIFICATIONS:

• Hyper-extreme attention to detail

• Minimum 3 years of experience in the financial services industry and 1 year of experience as a Client Operations Representative

• Passion for excellent service and client satisfaction

• Ability to multi-task and prioritize work daily

• Excellent verbal and written communication skills

• Strong organizational, problem-solving, and analytical skills

• Strong team player and approachable

• High degree of professionalism

• Proficient with Microsoft Office applications as well as client relationship management (CRM) and document management workflow systems

• Some college is preferred

BENEFITS

We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:

• Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates

• Dental insurance with MetLife

• Vision insurance with VSP

• Optional supplemental benefits

• Healthcare savings accounts with company contribution

• Flexible spending accounts

• Flexible working arrangements

• Generous 401K contributions

• Exempt associates qualify for our flexible paid time off policy.

• Non-Exempt associates will receive 15 days of paid time off annually during the first three years of employment

• 11 Paid Holidays

• Option to participate in our Equity Purchase Program

• Future growth opportunities within the company

In addition, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm. We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.

Benefits are available to full-time associates who work more than 30 hours a week.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. Typical reporting relationships are described, but actual relationships may vary in some instances. This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.

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