Sparks Group

Compensation

Full Description

Job Summary/Company: We are seeking a highly organized and detail-oriented Operations & Advisor Support Specialist to join a fast-paced wealth management operations team. This role supports financial advisors and clients through accurate account administration, advisor transitions, onboarding coordination, reporting, and compliance support across multiple custodians. This position is ideal for someone with strong RIA or brokerage operations experience who thrives in a high-touch, audit-heavy environment. The ideal candidate is proactive, client-focused, technically savvy, and able to manage complex workflows with a high degree of accuracy. Responsibilities: • Advisor Support: Serve as the primary operational contact for financial advisors, assisting with daily account activity, trading coordination, reporting, and process guidance. • Client Onboarding: Manage end-to-end onboarding including paperwork, funding, compliance reviews, and regulatory document distribution (ADV, IPS, privacy forms). • Client Service & Account Administration: Handle high-touch client requests (distributions, RMDs, wires), troubleshoot platform issues, and maintain account accuracy across multiple custodians. • Reporting & Performance: Prepare, review, and deliver performance reports, quarterly statements, and custom reporting packages for advisors and clients. • Technology & Workflow Support: Serve as a lead user for CRM and reporting platforms, support system updates, troubleshoot issues, and implement workflow improvements. • Compliance & Documentation: Maintain SEC and custodian-required records, track suitability and risk tolerance documentation, and support audit readiness. • Process Improvement & Team Collaboration: Identify opportunities for operational efficiency, assist with advisor transitions and mass repapering, and collaborate closely with internal staff to ensure smooth operations. Qualifications/Background Profile: • Industry Experience: 3–5+ years in RIA, asset management, or brokerage operations with hands-on knowledge of custodial processes (Schwab, Fidelity, Interactive Brokers). • Technical Proficiency: Experience with wealth management software platforms such as Black Diamond or similar, and advanced skills in Excel, Word, and Google Suite. • Regulatory Knowledge: Familiarity with SEC compliance requirements, KYC/AML procedures, and documentation standards. • Client Service Skills: Strong verbal and written communication, professional demeanor, and ability to support high-touch client relationships. • Organizational & Detail Orientation: Proven ability to manage multiple priorities, maintain accurate records, and handle complex operational tasks independently. • Problem-Solving & Workflow Improvement: Ability to troubleshoot operational issues, suggest process enhancements, and implement solutions efficiently. • Teamwork & Adaptability: Collaborative, proactive, flexible, and confident in working with advisors, clients, and internal teams in a fast-paced environment. ------------------------------------------------------------------ This job is Hybrid Remote. We offer several comprehensive benefits package including health and life insurance, paid and unpaid time off, and retirement and savings plans to qualifying employees. Download the Sparks Group mobile app from Apple App Store or Google Play. ------------------------------------------------------------------ Sparks Group is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, pregnancy, citizenship, family status, genetic information, disability, or protect veteran status.