Branch Operations Associate

Position Summary

Eppolito, Carbone & Co. is seeking a detail-oriented and client-focused Branch Operations Associate to support the day-to-day operations of our wealth management practice. This role serves as a key resource for clients, Financial Advisors, and Home Office personnel, helping to deliver exceptional service, operational accuracy, and regulatory compliance. The ideal candidate is organized, proactive, and comfortable managing multiple priorities in a fast-paced, team-oriented environment.

Key Responsibilities

Client Service & Operations

• Serve as a primary point of contact for client service and operational inquiries.
• Answer incoming branch telephone calls and provide professional, timely support.
• Schedule client meetings and assist with meeting preparation and follow-up.
• Process account openings, transfers, maintenance requests, beneficiary updates, and other client service transactions.
• Prepare, review, and submit paperwork for accuracy and completeness.
• Track outstanding documentation and pending requests through completion.
• Maintain accurate client records and documentation in accordance with firm policies and procedures.

Asset Processing & Cash Management

• Receive, process, and track client deposits and incoming assets.
• Assist with money movement requests, account funding activities, and asset transfers.
• Monitor deposited and transferred assets, communicating availability to Financial Advisors.
• Help ensure client assets are invested in a timely manner by coordinating with advisors regarding available cash balances and pending investment opportunities.

Trade Support & Compliance

• Obtain required licensing within an established timeframe.
• Upon obtaining required registrations, enter securities transactions as directed by Financial Advisors and in accordance with firm policies and regulatory requirements.
• Assist with branch audits, recordkeeping, compliance reviews, and supervisory requests.
• Maintain accurate client information, including contact information, beneficiary designations, and trusted contact records.
• Identify and escalate operational, service, or compliance concerns as appropriate.

Branch Administration

• Coordinate with Home Office departments to facilitate efficient processing and issue resolution.
• Provide backup support for branch operational and administrative functions.
• Assist with office organization, supply management, and general branch administration.
• Participate in training, professional development, and branch meetings.
• Contribute to a collaborative culture focused on operational excellence and exceptional client service.

Qualifications

Education & Experience

• Bachelor's degree preferred.
• 2-5 years of experience in financial services, banking, wealth management, brokerage operations, or a related field preferred.
• Client service and operational support experience strongly preferred.

Licensing

• FINRA Securities Industry Essentials (SIE) or willingness to obtain
• FINRA Series 7 and Series 63 licenses or willingness to obtain

Preferred Qualifications

• Familiarity with Raymond James systems, platforms, and operational processes strongly preferred.
• Experience supporting account opening, account maintenance, money movement, cash management, and client service activities.
• Knowledge of brokerage account types and financial services operations.

Skills

• Strong attention to detail and commitment to accuracy.
• Excellent organization, communication, and follow-through skills.
• Ability to manage multiple priorities and meet deadlines.
• Proficiency in Microsoft Office applications.
• Strong problem-solving skills and a client-service mindset.
• Ability to work independently and collaboratively within a team environment.

Compensation & Benefits

Eppolito, Carbone & Co. offers a comprehensive benefits package, including medical and dental coverage, retirement savings programs, paid time off, paid holidays, and other benefits available to eligible associates.

Salary Range: $60,000-$75,000 with annual incentive bonus

Eppolito, Carbone & Co. is committed to delivering exceptional service and advice through professionalism, teamwork, operational excellence, and a client-first approach.

Branch address: 1 Meeting House Road, Suite 13, Chelmsford, MA 01824

Branch phone: 978-788-7799

Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Eppolito, Carbone & Co. Is not a registered broker/dealer and is independent of Raymond James Financial Services, Inc. Investment advisory services offered through Raymond James Financial Services Advisors, Inc.

Pay: $60,000.00 - $75,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off

Work Location: In person