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Altruist · 1 day ago

Estate and Divorce Operations Specialist

Dallas, TX

Full-time

Hybrid

Mid, Senior Level

$79K/yr - $107K/yr

5+ years exp

Altruist is transforming the wealth management industry with an AI platform for financial professionals. The Estate and Divorce Operations Specialist will process estate and divorce requests, ensuring compliance with regulations while providing guidance to other departments and maintaining high standards of customer service.

Asset ManagementFinancial ServicesFinTech

Comp. & Benefits

Responsibilities

Review estate and divorce documents to ensure completeness and accuracy

Verify that all required documentation is provided and meets regulatory standards

Journal assets internally from one Altruist account to another

Ensure all documents comply with state and federal guidelines

Stay updated on changes in regulatory policies and adjust procedures accordingly

Consult with compliance and legal departments to address any regulatory issues

Provide guidance and support to the new accounts team

Conduct training sessions to ensure the team is knowledgeable about regulatory requirements and internal procedures

Address client inquiries and issues related to estate and divorce topics in a timely and professional manner

Collaborate with other departments to resolve complex account issues

Maintain high standards of customer service and client confidentiality

Identify and implement process improvements to enhance the efficiency and accuracy of the new account opening process

Develop and update standard operating procedures (SOPs) for the new accounts department

Utilize technology and automation to streamline workflows

Maintain accurate records of new account activities and approvals

Prepare regular reports on new account metrics and present their findings to senior management

Ensure proper documentation is archived and accessible for regulatory audits

Coaches team members through questions and provide constructive feedback

Assist with the creation of development goals and support team members in achieving them

Conducts team-member check-ins and facilitates productive team meetings

Communicate effectively with team members, providing clear guidance and expectations

Inspires confidence and motivates team members, recognizing and rewarding their achievements

Confronts and resolves difficult team issues to maintain high performance

Elicits positive responses from the team when executing change initiatives and adapts leadership style to meet the needs of the team and organization

Demonstrates strong judgment in making decisions that impact the team and organization, balancing short-term and long-term considerations

Maintains a strong focus on customer satisfaction, ensuring that the team delivers high-quality service to clients

Qualification

Probate process knowledgeQDRO filings expertiseRetirement beneficiary rulesSeries 7 licenseSeries 63 licenseFINRA knowledgeSEC regulations knowledgeAnalytical skillsProblem-solving skillsAttention to detailOrganizational skillsCommunication skillsInterpersonal skillsTeamwork

Required

Bachelor's degree in finance, Business, or a related field

Series 7 (General Securities Representative) license

Series 63 (Uniform Securities Agent State Law) license

Minimum of 5 years of experience in a brokerage or financial services firm, with a focus on new accounts and compliance

Strong knowledge of FINRA, SEC, and other regulatory requirements

Excellent analytical and problem-solving skills

Exceptional attention to detail and organizational skills

Effective communication and interpersonal skills

Ability to work independently and as part of a team in a fast-paced environment

Preferred

Series 24, (General Securities Principal) license

Series 4 (Registered Options Principal)

Benefits

A hybrid work schedule for most positions to promote strong, in-person collaboration and a healthy work-life-balance.

Stunning, amenity-filled office spaces in Culver City, CA, San Francisco, CA, and Dallas, TX. Our offices are intentionally designed for comfort, collaboration, and productivity.

Competitive pay and equity for eligible positions.

Premium healthcare, dental, and vision insurance plans (HMO and PPO).

401k savings plan with a 4% match and immediate vesting.

16 week paid parental leave.

Professional growth and development opportunities including an employee mobility program and an annual L&D budget allocation for each employee.

Company perks program (includes discounts on pet insurance, fitness, cell phone plans, entertainment and travel, etc.).

Financial guidance program (includes counseling on navigating debt, tracking personal spend, saving and planning goals, home-purchasing preparedness, etc.).

One month work from anywhere policy (with the exception of a few countries).

Total compensation includes a competitive benefits package, along with equity in the form of Stock Options (ISOs) for eligible roles.