About the Role

Tidewater Wealth Management is seeking an experienced Client Service & Operations Associate to become the operational backbone of a growing boutique wealth management practice. This is a high-trust, high-impact role working directly with the firm principal and senior advisors to deliver a polished client experience for high-net-worth individuals, families, and retirement-focused clients.

The right candidate has prior wealth management, RIA, custodian, brokerage, or financial services operations experience and enjoys owning the details: onboarding, account paperwork, custodian follow-up, CRM workflows, client meeting preparation, DocuSign, scheduling, reporting, and client service follow-through.

This is not a generic administrative role. It is a core client-service and operations seat for someone who is organized, proactive, polished, and comfortable managing multiple open priorities without letting things fall through the cracks.

Key Outcomes for Success

· Deliver a responsive, polished, and proactive client service experience from onboarding through ongoing reviews.

· Keep account opening, transfers, forms, DocuSign workflows, and custodian submissions moving through completion.

· Maintain accurate, up-to-date client records, workflows, and documentation in Redtail CRM and related systems.

· Prepare client review materials accurately and on time, helping advisors enter meetings fully prepared.

· Reduce advisor operational burden by owning follow-through, tracking open items, and closing the loop with clients, custodians, and internal team members.

Core ResponsibilitiesClient Experience & Relationship Support

· Serve as a key point of contact for client service requests, scheduling, onboarding logistics, paperwork follow-up, and routine account maintenance.

· Communicate with clients in a polished, professional, and timely manner, escalating advisor-level issues appropriately.

· Manage advisor calendars and coordinate client meetings, internal appointments, and follow-up tasks.

· Support a high-touch client experience by anticipating next steps, tracking open items, and ensuring clients receive clear communication throughout each process.

· Assist with Investment Advisory Agreements, Financial Planning Agreements, TIAA authorizations, and other client-service documentation.

RIA Operations & Account Management

· Manage new account and transfer processes across Schwab, Fidelity, and TIAA, including applications, ACAT tracking, authorization forms, account maintenance, and fee billing support.

· Gather client data efficiently and accurately, ensuring completeness before account opening, transfer submission, or planning work begins.

· Process client paperwork, DocuSign workflows, custodian-specific forms, notary-related items, and USPS mailers as needed.

· Follow up with custodians, clients, and internal team members until submissions, transfers, and service requests are completed.

· Input, reconcile, and maintain client data across Redtail CRM, custodial platforms, Dropbox, planning tools, and other specified systems.

· Contribute to the ongoing buildout and refinement of repeatable workflows, checklists, and service processes.

Client Reviews, Reporting & Advisor Preparation

· Prepare agendas, meeting packets, and supporting materials for client review meetings.

· Generate and organize MoneyGuide financial planning reports, Holistiplan tax analysis, Orion performance reports, and HiddenLevers portfolio stress tests, as applicable.

· Assist with client-facing materials related to capital gains, Medicare premium planning, tax-loss harvesting, Roth conversions, RMDs, charitable gifting, and retirement income planning.

· Ensure all review materials are accurate, organized, and delivered to the advisor with sufficient time for preparation.

· Document meeting preparation, client follow-up, and completed service items in Redtail CRM.

Workflow Ownership & Communication

· Manage phone routing during core business hours and triage incoming emails, requests, and service issues.

· Maintain a weekly summary of completed tasks, open items, and major projects requiring advisor attention.

· Use Redtail CRM consistently to document activity, assign tasks, track deadlines, and ensure nothing falls through the cracks.

· Help identify operational bottlenecks and recommend improvements to increase consistency, client service quality, and advisor leverage.

Qualifications & RequirementsRequired Experience

· 3+ years of client service, operations, or advisor-support experience in financial services, wealth management, banking, brokerage, or a registered investment advisory firm.

· Solid understanding of financial services workflows, account paperwork, client onboarding, custodial processes, and operational follow-through.

· Strong organizational skills, attention to detail, and ability to manage multiple open priorities simultaneously.

· Excellent written and verbal communication skills with a polished, professional client-facing style.

· Ability to work independently, take ownership, escalate appropriately, and close the loop without repeated prompting.

· Proficiency with Microsoft Office, including Outlook, Word, Excel, and PowerPoint.

Strongly Preferred

· Experience with Redtail CRM and custodial platforms such as Schwab, Fidelity, and/or TIAA.

· Familiarity with MoneyGuide, Holistiplan, HiddenLevers, Orion, DocuSign, and document-management systems.

· Prior experience inside an RIA, independent advisory firm, wirehouse advisory team, bank wealth management group, custodian, or TIAA-related environment.

· Series 65, Series 7/66, FPQP, CFP coursework, or related industry credentialing is a plus but not required.

Ideal Candidate Profile

· Proactive: anticipates what needs to happen next and follows through without waiting to be asked.

· Detail-oriented: understands that paperwork accuracy, data integrity, and documentation matter in a regulated advisory business.

· Client-focused: communicates warmly and professionally while protecting advisor time.

· Operationally disciplined: enjoys checklists, workflows, systems, deadlines, and clean follow-through.

· Comfortable in a boutique environment: willing to take ownership, improve processes, and grow with the practice.

Compensation & Benefits

· Competitive base salary commensurate with experience, plus bonus opportunity.

· 401(k) with 3% profit-sharing contribution, eligible after 30 days of employment.

· Life insurance and AD&D coverage.

· Short-term and long-term disability insurance, coordinated with Connecticut Paid Family Leave.

· Hybrid work schedule: 2 to 3 days per week in the West Hartford, CT office, with the remainder remote.

· Collaborative, relationship-driven culture with direct access to senior advisors and firm leadership.

· Opportunity to grow with a boutique advisory practice and take on increasing responsibility over time.

How to Apply

Please submit your resume and a brief cover letter describing your relevant experience and interest in this role. We review applications on a rolling basis and will contact qualified candidates promptly.

Tidewater Wealth Management is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, national origin, disability, or protected veteran status.

Pay: $65,000.00 - $85,000.00 per year

Benefits:

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

Work Location: Hybrid remote in West Hartford, CT 06107