Onboarding Associate - Broker Dealer Job at Ascendo Resources, Fort Lauderdale, FL

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  • Ascendo Resources
  • Fort Lauderdale, FL

Job Description

The Onboarding Associate is responsible for ensuring a seamless transition experience for financial advisors joining the broker-dealer. This role focuses on coordinating all aspects of the onboarding process, including advisor transitions, account openings, and the setup of custodial relationships. The Onboarding Associate serves as a key liaison between advisors, custodians, and internal departments to deliver an efficient and client-focused transition.

Key Responsibilities
  • Coordinate and manage the transition process for new financial advisors joining the broker-dealer.
  • Facilitate the opening and onboarding of new client accounts across multiple custodians.
  • Act as the main point of contact for advisors during the onboarding period, providing guidance and support.
  • Review and process account documentation to ensure accuracy, compliance, and timely setup.
  • Collaborate with internal departments (Compliance, Operations, Technology, and Advisor Support) to ensure smooth transitions.
  • Track and report on onboarding progress, identifying potential bottlenecks and proactively resolving issues.
  • Ensure adherence to regulatory requirements and firm policies throughout the onboarding process.
  • Assist with custodial relationship setup, account transfers (ACATs), and asset movement coordination.
  • Maintain accurate onboarding records and update workflow management systems.
  • Provide training and resources to advisors on processes, platforms, and tools as needed.
Qualifications
  • Bachelors degree in Business, Finance, or related field preferred.
  • 2+ years of experience in financial services, preferably within a broker-dealer, RIA, or custodian.
  • FINRA licenses such as Series 7 preferred.
  • Knowledge of account opening procedures, ACATs, and custodial platforms.
  • Strong understanding of industry regulations and compliance standards.
  • Excellent organizational skills with the ability to manage multiple priorities.
  • Strong interpersonal and communication skills, with a client-first mindset.
  • Detail-oriented with strong problem-solving skills.
  • Proficiency in Microsoft Office Suite; experience with custodial and CRM platforms preferred.
Seniority level
  • Associate
Employment type
  • Full-time
Job function
  • Administrative and Finance
Industries
  • Banking, Investment Banking, and Financial Services

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Job Tags

Full time, Work at office,

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