Service Operations Associate I (Charlotte, NC)
About The Position
The Service Operations Associate I is a critical operational role within the Client Service department, responsible for executing the administrative and transactional functions that support the firm’s service delivery. This centralized team works from a shared queue to ensure timely and accurate processing of client requests, including paperwork, money movement, account maintenance, and custodial interactions. This role is designed to complement the Relationship Manager (RM) function by handling the behind-the-scenes execution that enables a seamless client experience. While not client-facing, the Service Operations Associate I plays a vital role in maintaining operational excellence, regulatory compliance, and service consistency. This position offers a clear career path to Service Operations Associate II and III, with increasing levels of complexity, ownership, and leadership within the operations function.
Requirements
- High School diploma with a Bachelor’s degree highly preferred
- Two to Four years of job related experience
- Financial services industry required
- Ability to prioritize in a fast-paced environment while maintaining client focus and demonstrating attention to detail
- Enjoy collaborating and building positive relationships internally with co-workers and externally with clients and business vendors
- Excellent verbal and written communications skills a must
- Strong MS Word, Excel, and Outlook skills required; prior use of CRM system (Salesforce) a plus
- Strong desire for continuous self-learning and professional growth
Nice To Haves
- Prior experience working in an office environment with a customer service focus helpful
- Notary designation a plus
Responsibilities
- Process client paperwork, forms, and documentation with accuracy and efficiency.
- Execute money movement requests, including wires, ACH transfers, and journal entries, in accordance with firm and custodial policies.
- Monitor and manage service requests in a centralized queue, ensuring timely resolution and escalation when needed.
- Maintain detailed records of all transactions and communications in the CRM and custodial platforms.
- Serve as a liaison with custodians and third-party platforms to resolve operational issues and facilitate transactions.
- Stay current on custodial procedures, platform updates, and regulatory requirements.
- Ensure all operational activities meet compliance standards and internal controls.
- Partner with Relationship Managers and Wealth Advisors to support client service delivery through accurate execution.
- Collaborate with internal departments (e.g., compliance, financial planning, investment operations) to ensure alignment and efficiency.
- Participate in team meetings and contribute to process improvement initiatives.
- Other duties as assigned.
- Identify and report operational inefficiencies or recurring issues.
- Assist in documenting and refining standard operating procedures (SOPs).
- Support training and onboarding of new team members as needed.
Benefits
- Company Paid Basic Life & AD&D Insurance
- Company Paid Short-Term and Long-Term Disability Insurance
- Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
- Three Cigna medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
- Kaiser Medical plans available in California
- Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan.
- Two comprehensive Dental Plans
- Vision Insurance Plan
- Dependent Care Savings Account for child and dependent care.
- 14 Company Paid Holidays including a full week off at Thanksgiving.
- Generous paid time off program for vacation and sick days
- Employee Assistance Plan
- Family Medical Leave
- Paid Parental Leave (8 weeks)
- Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (8 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
- Adoption Assistance Reimbursement Program
- Company Paid Concierge Services for you and your loved ones for the spectrum of caring needs for your aging parents, young children, life’s challenges and more.
- 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match as well as an after-tax option
- Pet Insurance
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
