Assistant Ria Firm Jobs in Texas (NOW HIRING)

Wealth Custody and Clearing is seeking an experienced Assistant Vice President, Account Operations Specialist to support the execution of core account lifecycle operations across our introducing broker‑dealer platform. This role operates within the Account Operations team and is responsible for the review, approval, and ongoing maintenance of client accounts, ensuring all activities are performed accurately, compliantly, and in alignment with firm standards.

As Wealth Custody and Clearing scales, the accuracy and integrity of account onboarding and maintenance activities are foundational to client trust, regulatory compliance, and operational efficiency. This role ensures that accounts are reviewed and maintained correctly at each stage of the lifecycle, directly supporting all downstream servicing, trading, and cash movement activities.

• Review and approve new accounts, ensuring all documentation, regulatory, and internal control requirements are satisfied prior to account establishment
• Perform supervisory review as a Series 24 principal, including exception approvals and escalation support
• Execute and oversee account maintenance activities, including ownership changes, beneficiary updates, registrations, and account attribute modifications
• Support and manage complex account structures, including trusts, estates, corporate entities, partnerships, and multi‑party accounts
• Assist with lifecycle events, including death processing, estate distributions, and ownership transitions
• Ensure accurate capture and maintenance of beneficial ownership, control persons, authorized parties, and tax documentation (W9/W8)
• Partner closely with Client Service and advisors to address inquiries, resolve issues, and clarify documentation requirements
• Support inbound advisor requests, delivering timely, accurate, and high‑quality servicing for both standard and non‑standard scenarios
• Identify, assess, and elevate risk, documentation gaps, or inconsistencies in accordance with supervisory expectations
• Assist in processing and supporting ACATS and non‑ACATS transfers, ensuring proper documentation and control
• Coordinate with and initially perform across Cashiering, Transfers, and account operations; as the platform scales, help stand up domain‑specific functions with the opportunity to evolve into a dedicated leader within those areas
• Contribute to the development and refinement of workflows, procedures, and controls across onboarding and maintenance processes
• Leverage Salesforce and AI‑enabled workflows to improve efficiency, reduce manual effort, and enhance turnaround times
• Maintain strong documentation and audit readiness across all activities

• Strong experience in broker‑dealer or custody operations, with a focus on account onboarding, review, and lifecycle management
• Expertise in complex account structures (trusts, estates, entities) and associated documentation and regulatory requirements
• Solid understanding of:
  • Account approval and maintenance workflows
  • Beneficial ownership and control of person requirements
  • AML/KYC and CIP frameworks
  • Tax documentation and withholding considerations
• Experience supporting advisor‑facing servicing models, with effective communication and problem‑solving skills
• Ability to manage exceptions, non‑standard scenarios, and time‑sensitive requests with sound judgment
• Comfort operating in a fast‑paced, build environment with evolving processes and structures
• Familiarity with introducing broker‑dealer models and clearing relationships
• Experience leveraging workflow tools and case management systems (Salesforce preferred)

• Undergraduate degree
• 3+ years of experience in broker‑dealer, custody, or wealth operations, with a focus on account lifecycle management
• Active Series 24 license (required)
• Experience in an introducing broker‑dealer or advisory‑led (RIA) model strongly preferred

70,000 - 130,000 Annual. The above range applies to the role in the location specified. If the candidate would ultimately work outside of the location above, the applicable range could differ.

• Retirement savings plan (401(k) with company match)
• Insurance coverage including basic life, medical, dental, vision, long‑term disability, and other optional covers
• Paid‑time off including vacation, sick leave, short‑term disability, and family care responsibilities
• Employee Assistance Program
• Incentive compensation including eligibility for annual performance‑based awards (excluding certain sales roles subject to sales incentive plans)
• Eligibility for certain tax‑advantaged savings plans

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

For a full overview of benefits and compensation, visit https://hrportal.ehr.com/statestreet/Home.