Investment Advisor Support & Registrations Associate

Job Description

We’re looking for a driven, detail-oriented professional to join our team and support the firm’s mission of acting in our clients’ best interests while maintaining full compliance with industry regulations. This role offers a unique opportunity to gain hands-on experience across a variety of functions and grow with a dynamic company.

What You’ll Do:

This role provides operational and compliance support to both our financial advisors and internal teams. Key responsibilities include:

Supporting onboarding and registration of new financial representatives.

Assisting with back-office operations for financial advisor practices.

Onboarding of financial advisor professionals to the firm.

Reviewing and approving client accounts and billing activities.

Performing background checks and due diligence on prospective advisors.

Monitoring and escalating any issues related to account activity or firm policies.

Archiving email and social media communications in accordance with regulations.

Collaborating with the Chief Compliance Officer on regulatory initiatives and special projects.

What We’re Looking For:

General office experience and a willingness to take on a variety of responsibilities.

Strong problem-solving, decision-making, and conflict management skills.

Excellent written and verbal communication abilities.

Ability to manage time and priorities in a fast-paced, detail-oriented environment.

Experience with DocuSign or electronic processing systems is a plus.

Bachelor’s degree in a business-related field preferred, but not required.

Series 65 license is a plus. If not currently licensed, we’re willing to cover the cost of study materials and exam fees.Company Description

Saxony is a full-service Broker-Dealer and Registered Investment Advisor (RIA) headquartered in St. Louis, Missouri. We support forward-thinking financial professionals who seek true independence without giving up ownership, control, or the personalized service their clients expect.

At Saxony, advisors gain access to the robust infrastructure and technology of a large-scale platform, while maintaining the flexibility and autonomy of independent business ownership. We bring together a wide range of financial solutions under one roof, empowering our representatives to build and grow their practices with confidence.

Our mission is centered on relationships. We are committed to delivering exceptional service to our clients and advisors alike. We believe that trusted partnerships are the foundation of lasting success.

Full-time