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Manager of Operations
Reports to: Sr. Director of Staffing and Operations
Status: Exempt
The Manager of Operations is a key leader within the office and is responsible for overseeing daily operations, client service delivery, and administrative functions to ensure a seamless experience for clients and advisors. This individual provides leadership to Relationship Managers, Client Service Associates, and Administrative staff while driving operational efficiency, accountability, and adherence to firm standards. The ideal candidate possesses strong experience within a wealth management, investment advisory, or financial services environment and has a proven ability to manage teams, improve processes, and support business growth. This is a full-time, in-office position requiring a highly organized, proactive, and client-focused professional.
Reports to: Sr. Director of Staffing and Operations
Status: Exempt
The Manager of Operations is a key leader within the office and is responsible for overseeing daily operations, client service delivery, and administrative functions to ensure a seamless experience for clients and advisors. This individual provides leadership to Relationship Managers, Client Service Associates, and Administrative staff while driving operational efficiency, accountability, and adherence to firm standards. The ideal candidate possesses strong experience within a wealth management, investment advisory, or financial services environment and has a proven ability to manage teams, improve processes, and support business growth. This is a full-time, in-office position requiring a highly organized, proactive, and client-focused professional.
- Lead the day-to-day operations of the office, ensuring efficient workflows, exceptional client service, and alignment with firm standards and objectives.
- Provide direct leadership, oversight, and development of Relationship Managers, Client Service Associates, and Administrative staff, fostering accountability, collaboration, and high performance.
- Serve as the primary operational resource for advisors and support staff, conducting regular meetings to prioritize workload, address challenges, and ensure timely execution of client and business initiatives.
- Oversee all client service activities, including account openings, account maintenance, asset transfers, money movement requests, retirement plan rollovers, annuity servicing, reporting requests, and other ongoing account needs.
- Ensure a consistent and seamless onboarding experience for new clients, including account establishment, document collection, custodian transitions, and implementation of service plans.
- Maintain the accuracy and integrity of client, household, and entity records, including insurance, annuity, legal, and tax-related documentation.
- Monitor and manage operational workflows, service requests, and outstanding tasks to ensure timely completion, proactive communication, and a superior client experience.
- Partner closely with advisors, corporate service teams, custodians, and other stakeholders to deliver coordinated support and operational excellence.
- Ensure all office activities, client transactions, and operational processes adhere to regulatory requirements, compliance standards, and firm policies.
- Oversee office administration, facilities, vendor relationships, and maintenance needs to ensure a professional, organized, and productive work environment.
- Bachelor’s degree is preferred
- 3-5 years of experience in operations, office management, or client service leadership within a financial services, wealth management, RIA, or investment management environment.
- Prior experience working in a financial advisor office, registered investment advisory firm, broker-dealer, or similar client-facing investment management setting strongly preferred.
- Previous supervisory or team leadership experience required.
- Strong understanding of investment account servicing, new account opening processes, money movement requests, retirement plans, annuities, and custodial platforms.
- Experience with LPL Financial systems and processes preferred.
- Demonstrated ability to manage multiple priorities in a fast-paced environment while maintaining exceptional attention to detail.
- Strong problem-solving skills with the ability to identify operational inefficiencies and implement effective solutions.
- Excellent verbal and written communication skills with the ability to interact professionally with clients, advisors, and internal stakeholders.
- Proficiency in Microsoft Office Suite, including Outlook, Word, Excel, and Teams.
- Must maintain client confidentiality
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