Operations Associate Wealth Management

Position Title:                    Operations Associate 
Location:                             Newport Beach, CA
Position:                              In Office 

Employment Type:          Full Time 

Hours:                                  Monday-Friday; 8am-5pm 

Overview:

As an Operations Associate at McCarthy Wealth Management (MWM), you will play a central role in delivering an exceptional client experience and supporting the operational success of our boutique advisory firm. This dynamic position involves direct interaction with clients and close collaboration with three Financial Advisors to ensure timely, accurate, and thoughtful handling of client onboarding, account servicing, and investment operations.

You will coordinate client meetings, manage documentation, maintain CRM records, and facilitate money movement and asset transfers in accordance with regulatory standards. In addition, you’ll lead marketing efforts including event planning and client celebrations. This role is ideal for someone who is detail-oriented, client-focused, and thrives in a fast-paced, collaborative environment where initiative and follow-through are highly valued.

About Us:

McCarthy Wealth Management (MWM) is an independent financial planning and wealth advisory firm. We provide comprehensive financial counseling and investment advice to those in or near retirement, business owners and women responsible for their financial security. At MWM, we believe the intelligence, education, credentials, and experience of the team has allowed us to create a truly mindful approach towards personalized and trusted guidance for our clients. www.mwmplanners.com

Job Responsibilities:

• Onboard new clients after obtaining detailed, accurate account and transfer paperwork information.
• Open new investment accounts in eQuipt and gather required paperwork timely. 
• Refine and manage the Redtail workflows and standard operating procedures.
• Plan and execute high interest events and workshops for clients and their guests.
• Coordinate, prepare, and follow up from client meetings, facilitating both in-person and online appointments with Financial Advisors
• Execute money movement and asset transfers as directed including client deposits, rollovers, withdrawals, and internal transfers while adhering to regulatory requirements and internal policies, utilizing security trading platforms such as Pershing/NetX360
• Assist with client service items like beneficiary distributions, settling estates, transferring funds. 
• Coordinating annually with clients to gather financial documents and update information in financial planning software such as eMoney or reporting software like Albridge. 
• Process life insurance and annuity applications and required follow-up with underwriters regarding application status.
• Maintain advisor calendar and set-up regular phone and in-person client meetings.
• Follow up with vendors, product sponsors, and partners for documentation or inquiries on behalf of clients and/or Financial Advisors.
• Provide exceptional client service by promptly responding to client inquiries, resolving account-related issues, and addressing client requests for information or assistance.
• Maintain client information and document client interactions, task progress, and account updates in CRM Redtail.
• Initiate and support marketing efforts through social media, email and US mail outreach.
• Other duties as assigned.

Minimum Qualifications:

• Minimum 3 years’ experience in customer service, sales, or administrative support in the financial services industry. Experience may include investments, wealth management, life insurance industry, banking, etc. 
• Preferred or willingness to pursue: FINRA Series 6, 7 and/or 66 (63 and 65) license(s) 
• Preferred familiarity with CRM systems (Redtail) and financial platforms such as eMoney, Albridge, GReminders, MyRepChat, Pershing/NetX360, or Jump AI.
• Professional demeanor and strong interpersonal skills to effectively engage with clients and team members.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and other office tools.
• Exceptional organizational skills with a keen attention to detail.
• Excellent follow-up skills with a proactive approach to tasks and responsibilities.
• Demonstrates initiative, identifying areas for improvement and taking steps to address them effectively.
• Strong written and verbal communication skills.
• Ability to prioritize and manage multiple tasks in a fast-paced environment.
• Must have a high willingness to learn new concepts, processes, and software and be a team player.

Additional Details:

• Benefit Eligible: Group health, vision dental plans, 401k retirement with employer contribution, Paid vacation, sick, and holiday hours.
• Employment background and fingerprinting checks required due to regulatory compliance.
• Opportunities for professional growth and development; including continuing education.
• A supportive and inclusive work environment where your contributions are valued.