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Summit Financial · 1 day ago

Senior Operations Analyst

Caldwell, NJ

Full-time

Hybrid

Mid, Senior Level

$75K/yr - $90K/yr

5+ years exp

Summit Financial LLC is a leading Registered Investment Advisory firm providing comprehensive financial planning and wealth management services. The Senior Operations Analyst will manage the operational onboarding process for new advisor teams, oversee firm security administration, and support strategic operations initiatives to enhance efficiency and compliance.

Financial Services

Responsibilities

Assist the Associate Director of Operations with managing the end-to-end operational onboarding process for all new advisor teams and employees, ensuring a seamless, accurate, and timely integration into Summit’s systems, custodians, and workflows

Develop, refine, and enhance onboarding frameworks, checklists, timelines, and communication standards to improve speed, scalability, and consistency

Collaborate cross-functionally (Investment Team, Transitions, IT, Compliance) to ensure onboarding processes are coordinated and aligned with broader firm requirements

Track onboarding metrics and identify trends, gaps, and opportunities to improve the overall advisor and staff onboarding experience

Manage all entitlement and security access provisioning across Schwab, Fidelity, Pershing, Goldman Sachs, and SEI

Maintain strict internal controls, verifying proper oversight, segregation of duties, and adherence to regulatory requirements

Design and implement improved security governance practices to reduce risk and ensure audit-ready documentation

Conduct periodic reviews of access rights, report on exceptions, and recommend remediation strategies

Serve as a subject-matter expert for custodian platform permissions, workflows, and escalation issues

Partner closely with Operations Leadership to support operational strategy, risk mitigation, and process improvement initiatives

Participate in long-term planning related to operational scalability, new custodial integrations, new technology adoption, and workflow redesign

Assist in evaluating operational impacts of new advisors, new products, and new custodial solutions

Conduct analysis to identify operational bottlenecks and recommend process optimization opportunities

Develop and maintain high-quality operational procedures

Support quality assurance, testing, and rollout of new operational systems or enhancements

Partner with senior management to troubleshoot inconsistencies, resolve processing issues, and implement best-practice standards

Collaborate with teams across the firm to drive consistency, accuracy, and continuous improvement

Qualification

Custodian platformsOperational onboardingAnalytical mindsetOperational risk managementProcess improvementMulti-taskingCommunicationAttention to detailStrategic thinkingProblem-solving

Required

Bachelor's degree

5+ years of relevant experience in RIA, custody, or brokerage operations

Strong analytical mindset with ability to evaluate processes, identify risks, and propose improvements

Ability to operate with discretion, sound judgment, and a high degree of ownership

Strong written and verbal communication skills

Exceptional attention to detail and follow-through

Ability to multi-task and manage competing priorities in a fast-paced environment

Preferred

Experience with custodian platforms (Schwab, Fidelity, Pershing, SEI, Goldman) strongly preferred

Experience in operational onboarding or entitlement/security access management

Familiarity with operational risk management, audit processes, or compliance considerations

Demonstrated experience improving workflows or implementing new operational processes

Strong strategic thinking, problem-solving, and data analysis capabilities

Ability to build strong cross-departmental relationships and drive alignment

Benefits

401(k)

401(k) matching

Dental insurance

Employee assistance program

Flexible spending account

Health insurance

Life insurance

Vision insurance

Company

Summit Financial

Summit Financial, LLC ("SF") an independent investment advisory firm is proud to continue a 4-decade legacy helping advisors elevate their businesses and deliver robust client experiences.

Founded in 1982

Parsippany, New Jersey, USA

201-500 employees