Operations Analyst - Wealth Management

Position:  Operations Analyst – Wealth Management

Schedule:  Monday – Friday, 8:00 AM – 5 PM

Locations:  Dallas, TX

Contract Duration: 12 Months – ASAP Start

Pay Range: $22.00 – $25.91/HR, Paid Weekly

HYBRID –3 Days Onsite / 2 Days Remote

Position Overview:

Wealth Management Operations (WMO) delivers comprehensive operational support that enhances the experience for advisory partners and their clients. WMO ensures assets and account information are handled accurately, meeting both specialized product requirements and legal obligations. These products and services include investments such as cash, stocks, bonds, mutual funds, restricted securities, and more. Legal requirements may include subpoenas, levies, freeze orders, and requests for account documents or information.

Team Focus:

The Legal Operations team manages responses to civil legal orders, internal data requests, and deceased account notifications. Responsibilities include applying account restrictions, gathering requested documents and data, and ensuring protective maintenance is in place. The team coordinates the resolution of requests by facilitating releases, sending pay order instructions to branches, and delivering documentation to both internal and external stakeholders.

Key Responsibilities:

• Collect and process client data, apply account restrictions, and ensure compliance with internal guidelines.
• Maintain thorough documentation to support operational integrity.
• Respond to moderately complex client inquiries regarding legal orders, subpoenas, and account restrictions.
• Research and resolve issues by leveraging internal systems and collaborating with Legal, Front-Line Units, and other internal teams.
• Examine legal and account documents for accuracy, completeness, and compliance with internal policies.
• Escalate discrepancies to leadership or risk teams as needed to maintain audit readiness and mitigate risk.
• Identify operational risks and opportunities for process enhancements.
• Assess upstream and downstream impacts of processes and recommend improvements to minimize errors and strengthen compliance with enterprise and regulatory standards.
• Maintain expertise in legal operations, processes, and systems.
• Support onboarding and training of new team members, sharing best practices to ensure consistent execution across the team.
• Understand the full workflow, including the purpose of each step, associated process controls, potential risks, and impacts on other operational units.
• Use this understanding to execute tasks effectively and improve process reliability.

Working Conditions:

• May on occasion be exposed to loud sounds and distracting noise levels, such as from office equipment.
• The ability to lift up to 30 lbs.
• Use of computers and technology.

Here at Canon Recruiting, People are our priority, and we are committed to Include Diversity in every segment of who we are. It is only through our Diversity; we are made a stronger organization and increase our ability to provide top tier candidates that our clients have come to know Canon for. We have an inclusive environment all employees are celebrated for their unique differences. The different perspectives and experiences of our workforce give us the competitive advantage that is essential for success in an ever-changing market. By promoting inclusion with the same enthusiasm, we devote to quality and competency and using the experience from a diverse assortment of backgrounds and experiences, Canon is able to improve the services and value we deliver to clients, employees, and customers. At Canon, Diversification and Inclusiveness are much more than a corporate ambition; they are a critical component in our daily corporate life. Canon Recruiting is committed to a diverse and inclusive workplace. Canon Recruiting is an equal opportunity employer and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. The pay range for this position is listed above. Base pay information is based on market location. We will consider for employment qualified applicants with arrest and conviction records. Our range of benefits may include health care and 401(k) savings plans. For individuals with disabilities who would like to request an accommodation, please email our HR team.