Find & Apply For Brokerage Clerk Jobs in Armonk, New York

Overview Join our dynamic team at Shepherd Wealth as a Wealth Management Operations Associate and become a vital part of delivering an exceptional experience to our entrepreneurial and high net worth client base. In this role, you will be at the forefront of managing complex operational processes, ensuring compliance with industry regulations, and supporting the seamless execution of investment and banking activities. Your expertise will help uphold the highest standards of accuracy, efficiency, and client satisfaction in a time-sensitive financial environment. This paid position offers an exciting opportunity to develop and champion your skills in financial operations while contributing to a trusted wealth management organization committed to excellence. This role provides a long-term opportunity for growth and role expansion ahead. Responsibilities

• Acting as operational assistant and right hand of our Head of Wealth Management Cashiering & Asset Movement
• Hands-on experience processing outgoing and incoming wires, including verifying instructions, dual-control approvals, and same-day cut-off handling.
• Proven ability to set up, maintain, and troubleshoot EFT/ACH bank links (clientto-custodian and custodian-to-bank), including bank verification, authorization forms, and recurring transfer schedules.
• Experience executing account-to-account transfers (internal journal entries, ACATS, and non-ACATS transfers) with accurate funding source selection, tax-lot tracking, and timely confirmation to advisors and clients.
• Familiarity with cashiering workflows in a brokerage or RIA environment, including check deposits, money market sweeps, and exception handling for failed or returned items. Account Opening & Data Entry
• Direct experience opening new brokerage, advisory, and retirement accounts (individual, joint, trust, IRA, Roth, entity, etc.), including accurate data entry of client information, beneficiary designations, and investment elections.
• Strong attention to detail in completing and validating account applications and supporting documentation to meet compliance and regulatory standards.
• Ability to maintain clean, audit-ready records in the firm's CRM and custodial platforms with minimal error rates under volume. Fast-Paced / High-Urgency Environment
• Demonstrated success working in a high-volume operations setting where same day processing, tight market cut-offs, and rapid turnaround on client requests are the norm.
• Comfort managing multiple concurrent priorities, shifting deadlines, and last-minute advisor or client escalations without sacrificing accuracy.
• Proven ability to stay calm, organized, and decisive under time pressure while maintaining clear communication with advisors, clients, and internal teams. Experience
• Strong understanding of financial concepts including investment management, securities law, financial analysis, and industry-specific regulations.
• Hands-on experience with financial software tools.
• Demonstrated knowledge of banking regulatory compliance, trade settlement processes, and financial regulatory frameworks like industry standards for fraud prevention.
• Background in internal communication, customer service excellence, and team collaboration within a time-sensitive operational setting.

This role is ideal for motivated professionals eager to deepen their expertise in wealth management operations while making a meaningful impact on client success through meticulous process management and regulatory compliance.

Pay:

$55,000.00 - $70,000.00 per year

Benefits:

401(k) 401(k) matching Dental insurance Flexible spending account Health insurance Health savings account Life insurance Paid time off Vision insurance

Experience:

Financial services: 2 years (Preferred)

License/Certification:

Securities Industry Essentials (Preferred) Series 7 (Preferred) Series 66 (Preferred) Series 65 (Preferred) Series 6 (Preferred) Series 63 (Preferred) Life & Health Insurance License (Preferred)

Work Location:

Hybrid remote in Armonk, NY 10504