Operations Manager (Wealth Management/RIA)

Position Overview

Our client is a rapidly growing Wealth Management/RIA firm ($3 billion plus AUM) serving high-net-worth individuals and corporate executives. The Operations Manager will oversee all internal operations, manage the operations staff, monitor case flow, and work closely with advisors to ensure that performance goals are achieved. This role is ideal for someone with deep industry knowledge, strong leadership skills, and hands-on experience with key financial technology platforms.

Key Responsibilities

• Oversee day-to-day office operations to ensure smooth workflow across departments.
• Manage and supervise the operations and case processing team, ensuring all client accounts, paperwork, and transactions are completed accurately and timely.
• Meet regularly with advisors to track progress toward business goals and support them in achieving productivity benchmarks.
• Oversee new business processing from submission through completion, ensuring compliance and exceptional client service.
• Maintain deep working knowledge of key platforms, including Wealthscape, eMoney, Envestnet, and various annuity carrier systems.
• Troubleshoot operational and technical issues across systems and ensure the team is trained and supported.
• Develop and implement process improvements to enhance efficiency, accuracy, and client experience.
• Collaborate with leadership to drive new business development and operational strategy.
• Support recruiting, onboarding, and training of new staff as the firm grows.
• Ensure compliance with all regulatory and firm-level requirements.

Required Qualifications

• 5+ years of experience in financial services operations, specifically within an RIA, broker-dealer, or wealth management environment.
• Strong understanding of brokerage and financial advisory operations, including new account setup, trading, transfers, and compliance procedures.
• Proficiency with Wealthscape, eMoney, and preferably Envestnet platforms.
• Experience with annuity business processing is strongly preferred.
• Proven leadership and team management abilities.
• Excellent organizational, problem-solving, and communication skills.
• Ability to manage multiple priorities and meet deadlines in a fast-paced, high-volume environment.
• Bachelor’s degree in Finance, Business, or a related field preferred.

What the Position Offers

• Leadership role with significant impact on the firm’s growth and success.
• Competitive salary
• Generous annual bonus
• Monthly health insurance stipend (medical benefits not offered at this time)
• 401(k) with 3.5% match