Service Associate

SUMMARY:

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.

KEY RESPONSIBILITIES: 

Operational Excellence

• 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.

Client & Advisor Support

• 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.

Collaboration & Continuous Improvement

• 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.

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.

SUCCESS FACTORS:

• Consistently meets service level expectations with accuracy and timeliness.
• Demonstrates accountability, professionalism, and team collaboration.
• Maintains a high level of quality and attention to detail under pressure.
• Contributes to a positive, solutions-focused team culture.
• Supports Allworth’s commitment to operational excellence and an exceptional client experience.

 The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.  Typical reporting relationships are described, but actual relationships may vary in some instances.  This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.