Service Associate

Allworth Financial•Dallas, TX

31d•Onsite

About The Position

The Direct Business Associate plays a key role in supporting the daily operations of Allworth’s Direct Business department. This position is responsible for accurately and efficiently processing client account requests, ensuring compliance with internal procedures and regulatory standards, and delivering an exceptional service experience to both internal and external clients. The Direct Business Associate partners closely with the Direct Business Team Lead and fellow associates to maintain queue efficiency, uphold service level agreements (SLAs), and contribute to the overall operational excellence of the department. This role requires a high degree of attention to detail, accountability, and collaboration within a fast-paced, service-oriented environment. This is a full-time, non- exempt position in our Addison, TX office which requires 5 days in office.

Requirements

2+ years of experience in financial services operations preferred, ideally within a broker/dealer or direct business environment.
Series 6 license preferred.
Strong understanding of mutual funds, variable annuities, and 529 plans.
Exceptional attention to detail and organizational skills.
Proven ability to manage multiple priorities and meet deadlines.
Excellent communication and interpersonal skills.
Proficiency with Microsoft Office, Salesforce, or similar workflow and CRM tools.
High School Dipolma or GED required, College preferred.

Responsibilities

Prioritize, process, and complete tasks within assigned queues to meet or exceed established SLAs.
Create and process paperwork for client requests, including new accounts, transfers, distributions, and maintenance items.
Submit and track paperwork directly with applicable carriers and custodians, ensuring timely and accurate completion.
Review and quality check documents to minimize errors and ensure compliance with firm and industry standards.
Maintain a clear understanding of department workflows, escalation paths, and compliance requirements.
Collaborate with Advisors, Client Relationship Specialists, and other departments to obtain necessary client data and resolve outstanding items.
Provide status updates, respond to inquiries, and ensure transparent communication throughout the service process.
Facilitate delivery of client paperwork via DocuSign, mail, or secure electronic channels as appropriate.
Partner with the Direct Business Team Lead and peers to ensure daily workflow balance and consistency.
Participate in team huddles, process updates, and ongoing training sessions.
Suggest and implement process enhancements that improve efficiency, accuracy, and client satisfaction.
Demonstrate and promote Allworth’s guiding principles in all interactions.

Benefits

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