Operations & Logistics·Confirmed live in the last 24 hours·
Full-timeDallas, TX, USANo salary listedIn-person
About the Job
Requirements
Strong written and verbal communication skills.
Strong attention to detail, organizational skills, and time management skills.
Ability to work independently and prioritize multiple tasks in a fast-paced environment.
Proficiency in Microsoft Office Suite and customer relationship management (CRM) systems.
Responsibilities
Review new account paperwork for completeness and accuracy in accordance with firm policies.
File and upload documentation to meet regulatory Books and Records requirements.
Identify and escalate potential issues or delays in the account paperwork process.
Serve as a subject matter expert on company procedures related to new accounts, representative ID creation, and handling incomplete or incorrect paperwork.
Monitor and adhere to internal Service Level Agreements to ensure consistent, high-quality support.
Collaborate with Operations and Compliance to maintain proper documentation and procedural alignment.
Respond to advisor inquiries regarding account paperwork, status updates, and documentation needs.
Build and maintain relationships with advisors by providing proactive support and clear communication.
Work with team members and management to identify opportunities for additional advisor training, process enhancements, and operational efficiencies.
Participate in Operations team training, webinars, conference calls, and related activities.
Support general Operations functions and provide backup coverage as needed.
Contribute to ongoing process improvements and strategic initiatives.
Perform special assignments and ad hoc projects as directed by management.
Perform additional duties as required.
Desired Qualifications
Experience with document management or workflow systems.
1–3 years of experience in financial services, preferably in an operations or client service role.
Prior experience opening client investment accounts in a wealth management office.
Current or prior Series 7, 66, 63, and/or 65 registrations.
Knowledge of Salesforce, Black Diamond, and/or Laserfiche.
Our Team is growing, and we need you!
Come be a part of this disruption in the financial services marketplace!
By joining the Level Four family of companies, you’ll be joining one of the fastest growing wealth management firms in the country. After 20+ years, we still have an entrepreneurial spirit, dedicated to embracing change. We are national in scope with offices throughout the U.S., yet with local roots here in North Texas.
We offer:
Casual Work Environment
Generous Paid Time Off
Flexible Work Schedule
Great Benefits
And More…
Come take your career path to the next level!
The New Accounts Associate is a key member of the Operations team, responsible for reviewing and processing new account paperwork with a high degree of accuracy and timeliness. This individual will support financial advisors and internal stakeholders by managing paperwork status updates, responding to inquiries, and ensuring adherence to established Service Level Agreements (SLAs). The ideal candidate is detail-oriented, proactive, and thrives in a fast-paced environment supporting both advisors and internal teams.
Essential responsibilities and tasks of the New Accounts Associate are:
Review new account paperwork for completeness and accuracy in accordance with firm policies.
File and upload documentation to meet regulatory Books and Records requirements.
Identify and escalate potential issues or delays in the account paperwork process.
Serve as a Subject Matter Expert on Level Four procedures related to new accounts, rep ID creation, and handling of incomplete or incorrect paperwork.
Monitor and adhere to internal Service Level Agreements (SLAs) to ensure consistent, high-quality support.
Collaborate with Operations and Compliance to maintain proper documentation and procedural alignment.
Respond promptly and professionally to advisor inquiries regarding account paperwork, status updates, and documentation needs.
Build and maintain strong relationships with advisors by providing proactive support and clear communication.
Work with team members and management to identify opportunities for additional advisor training, process enhancements, and operational efficiencies.
Participate in Operations team training, webinars, conference calls, and related activities.
Maintain a high level of accuracy, attention to detail, and organizational efficiency.
Support general Operations functions and provide backup coverage as needed.
Contribute to ongoing process improvements and strategic initiatives.
Perform special assignments and ad-hoc projects as directed by management.
Additional duties as required
Successful New Accounts Associate candidates will have:
Required
Strong communication skills, both written and verbal.
Detail-oriented with excellent organizational and time management skills.
Ability to work independently and prioritize multiple tasks in a fast-paced environment.
Proficient in Microsoft Office Suite and CRM systems; experience with document management or workflow systems is preferred.
Preferred
1–3 years of experience in financial services, preferably in an operations or client service role.
Prior experience opening client investment accounts in a wealth management office
Current or prior Series 7, 66, 63 and/or 65 registrations
System knowledge: Salesforce, Black Diamond and/or Laserfiche