Registered Investment Advisor Operations Manager

6 days ago Be among the first 25 applicants

Right Executive Search, LLC provided pay range

This range is provided by Right Executive Search, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$65,000.00/yr - $80,000.00/yr

Wealth Management Operations Manager

Compensation: $70–80k DOE, plus bonus, medical benefits, and 401(k) match

About the Firm

Our client is a growing hybrid Registered Investment Advisor (RIA) firm with over $500 million in assets under management (AUM) and a positive and collaborative corporate culture. The firm provides comprehensive wealth management services to a primarily high-net-worth (HNW ) client base, including retirement plans and business owners. Known for its strong reputation and relaxed yet professional environment, the firm is expanding and seeking a seasoned operations and client service professional to support continued growth.

This is a new position created due to the growth of the practice. The ideal candidate will bring a solid background in financial services operations, strong attention to detail, and a proactive, client-first mindset.

Key Responsibilities

• Prepare reports, paperwork, and materials for client meetings; manage post-meeting follow-up
• Process, submit, and service account paperwork and client requests (new accounts, ACATs, distributions, etc.)
• Handle client inquiries via phone, email, and in-person interactions
• Execute trades and support transaction workflows (Series 7 and 65 required within a defined time frame)
• Maintain the CRM system and ensure the accuracy of client records
• Support the creation and improvement of internal systems and workflows
• Collaborate with advisors and contribute to a high-level client service culture

Qualifications

• Minimum of 6 years of experience in a financial services operations or client service role that includes experience working with high-net-worth (HNW) clients in an RIA, broker-dealer, or family office setting
• Strong organizational and problem-solving skills; self-starter with intellectual curiosity
• Familiarity with platforms such as Redtail, Envestnet, eMoney, and Laserfiche is a plus
• Series 7 and 65 not required at hire, but must be obtained within a defined period to support trading responsibilities
• Client-focused and service-oriented mindset
• Experience building processes and infrastructure is a plus
• Positive attitude, proactive approach, and strong attention to detail

Reporting Structure

This position reports to the COO/Director of Financial Planning and supports the entire advisory team, with a strong focus on operations, process improvement, and advisor efficiency.

Why Join This Firm?

• Relaxed, respectful, and supportive work environment
• Opportunity to contribute ideas and influence internal systems and service standards
• Exposure to both operational and client-facing responsibilities
• The firm is growing and has recently added multiple advisors
• Opportunities for learning from multiple professionals within the team
• Leadership is open to evolving the role based on your goals and strengths

Seniority level

• Seniority level
  
  Mid-Senior level

Employment type

• Employment type
  
  Full-time

Job function

• Job function
  
  Customer Service, Administrative, and Analyst
• Industries Financial Services, Investment Management, and Investment Advice

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Inferred from the description for this job

Medical insurance

401(k)

Paid maternity leave

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