Allworth Financial · 2 hours ago
Service Associate
Dallas, Texas, United States
Full-time
Onsite
Entry Level
2+ years expAllworth Financial is an independent investment financial advisory firm specializing in retirement planning and investment advising. The Direct Business Associate plays a key role in supporting the daily operations of the Direct Business department by processing client account requests and ensuring compliance with internal procedures and regulatory standards.
AdviceFinancial ServicesRetirement
Responsibilities
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
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
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
Qualification
Required
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 Diploma or GED required
Preferred
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
College preferred
Benefits
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
Company
Allworth Financial
Allworth Financial is an investment advisory firm that provides financial and retirement planning education.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Pat McClain
Co-Founder and CEO
Sandeep M.
Chief Technology Officer
Recent News
2025-10-09
Company data provided by crunchbase