Position Title: Advisor Services Associate Reports to: Vice President Department: Simplicity Wealth - Advisor Services Group Location: San Diego, CA Classification: Full-time, exempt Summary / Job Objective: The Advisor Services Associate is a dual-impact role responsible for delivering a premier service experience to our financial advisors while maintaining the operational integrity of our wealth management platform. You will act as the primary liaison between the Advisor, the Firm, and the Custodian, ensuring that every client request—from account opening to complex money movement—is handled with precision and speed. Primary Responsibilities: Full-Cycle Account Management: Oversee the entire account lifecycle, including preparation of new account paperwork, processing of ACATS/transfers, and handling Not In Good Order (NIGO) resolutions. Operational Concierge: Serve as the first point of contact for advisors regarding operational inquiries, providing white-glove support for money movement (Wires, ACH, Journals) and RMD processing. Custodial Operations: Manage daily interactions with custodial partners (Schwab, Fidelity, etc.) to advocate for advisor needs and expedite pending service requests. Trade Portfolio Administration: Execute investment operations tasks, including processing trade requests, portfolio rebalancing support, and maintaining accurate account attributes in the billing and reporting systems. Training Empowerment: Educate new advisory teams on the firm's operational workflows and proprietary tech stack to ensure they can navigate our systems independently. Risk Compliance Oversight: Ensure all client service activities adhere to firm and SEC/FINRA regulations, specifically regarding identity verification and secure money movement. Qualifications: Education: Bachelor's degree or equivalent professional experience. Industry Experience: 2+ years within an RIA, TAMP, or financial services environment, specifically focused on operations or advisor transitions. Custodial Mastery: 2+ years of hands-on experience with major custodial platforms (Schwab/TD Ameritrade, Pershing, or Fidelity). Specialized Knowledge: Deep understanding of the ACATS process, cost-basis transfer, and the regulatory nuances of transitioning client assets. Technical Skill: Mastery of Wealth Management platforms/CRMs (Orion, Salesforce, Redtail) and digital signature workflows (DocuSign). Core Competencies: Service Excellence: A client-first mentality with the ability to turn complex operational hurdles into positive service outcomes. Operational Discipline: High attention to detail; you are the person who catches the small error before it becomes a large problem. Multitasking Mastery: Ability to pivot between a phone call with an advisor and a complex money movement task without losing accuracy. Ownership: A proactive approach to following up on open items until they are fully resolved. Compensation Benefits: Compensation will be based on experience. · Salary Range: $60,000 to $75,000 · Annual Performance Bonus Target: 10% · Employee benefits (medical, dental, vision, life insurance, other) · 401k with employer match · Paid Time Off · Paid parking Location 11512 El Camino Real, San Diego, CA 92130; this is an in-office position Company Description Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings ( Simplicity Group ) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy. Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company's day-to-day business. For more information, please visit simplicitygroup.com.
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