Direct Business Associate

Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2022.

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.

BENEFITS

We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:

• Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates
• Dental insurance with MetLife
• Vision insurance with VSP
• Optional supplemental benefits
• Healthcare savings accounts with company contribution
• Flexible spending accounts
• Flexible working arrangements
• Generous 401K contributions 
• Exempt associates qualify for our flexible paid time off policy.
• Non-Exempt associates will receive 15 days of paid time off annually during the first three years of employment
• 11 Paid Holidays
• Option to participate in our Equity Purchase Program
• Future growth opportunities within the company

In addition, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm. We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.

Benefits are available to full-time associates who work more than 30 hours a week.

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.

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