ABOUT THIS ROLE
The Manager, RIA Operations & Client Service will establish and lead a newly formed team responsible for delivering customer service and operational support for Apex’s in-house Registered Investment Adviser (RIA) business. This leader will recruit, develop, and retain a high-performing team while defining scalable service models, workflows, controls, and performance standards. The role will support Apex’s continued expansion beyond its industry-leading technology and clearing capabilities into B2B RIA services, enabling the firm to deliver RIA and sub-advisory solutions to additional clients. By partnering closely with Compliance, Product, and other business stakeholders, this position will create a digitally enabled, compliant, and seamless operating model that supports exceptional client outcomes and sustainable growth.
Position SummaryCategory: Team Leadership, Hiring, and Development (30%)
- Build and lead a customer service and operations team supporting the launch and ongoing growth of Apex’s in-house RIA business.
- Develop hiring plans, interview and select qualified talent, and establish onboarding and training programs for new team members.
- Set clear expectations, performance objectives, service standards, and development plans for direct reports.
- Foster a collaborative, accountable, and client-focused culture that is equipped to operate effectively in a dynamic growth environment.
Category: RIA Operations and Process Design (30%)
- Define, document, implement, and continuously improve operational processes and workflows supporting RIA and sub-advisory services.
- Establish scalable procedures for client onboarding, account servicing, issue resolution, operational requests, and escalation management.
- Develop service-level agreements, key performance indicators, quality controls, and reporting to measure team performance and client experience.
- Identify operational risks, bottlenecks, and opportunities for process simplification as the RIA business evolves.
Category: Regulatory Compliance and Risk Management (20%)
- Partner with Compliance, Legal, Risk, and other control functions to ensure operational processes align with applicable RIA, securities, and client-service regulatory requirements.
- Implement controls, documentation standards, supervisory procedures, and monitoring practices that support regulatory readiness.
- Escalate operational, client, and compliance concerns promptly and collaborate with stakeholders to drive appropriate resolution.
- Support internal audits, regulatory examinations, compliance reviews, and remediation activities as needed.
Category: Product Partnership and Digital Enablement (20%)
- Collaborate with Product, Technology, and Operations stakeholders to design digital, efficient, and seamless client and internal service experiences.
- Translate operational requirements, client feedback, and regulatory needs into product enhancements, automation opportunities, and workflow improvements.
- Participate in testing, implementation, and change-management activities for new systems, tools, and capabilities.
- Champion the adoption of technology and automation that improves accuracy, turnaround time, scalability, and the overall customer experience.
Education- Bachelor’s degree in Business, Finance, Operations, Management, or a related field; equivalent relevant experience may be considered in lieu of a degree.
- FINRA securities licenses and/or investment adviser-related credentials are preferred or must be obtained, as required by the business and regulatory obligations. Series 7 & Series 66 or Series 65 required
- Additional coursework or certification in financial services operations, project management, compliance, or process improvement is preferred.
Work Experience- Five or more years of progressive experience in financial services operations, client service, wealth management, broker-dealer operations, investment advisory services, or a related environment.
- Two or more years of direct people-management experience, including hiring, coaching, performance management, and team development.
- Experience building, scaling, or transforming operational teams, processes, and service models in a fast-paced or growth-stage environment.
- Experience supporting Registered Investment Adviser, broker-dealer, custody, clearing, wealth management, or fintech operations is strongly preferred.
- Demonstrated experience partnering with Compliance, Legal, Product, Technology, and Risk teams to implement compliant operational processes.
Knowledge, Skills, and Abilities- Strong knowledge of client service and operational practices within regulated financial services environments.
- Ability to design scalable workflows, operating procedures, service standards, controls, and performance metrics.
- Demonstrated leadership ability with a track record of building engaged, high-performing, and accountable teams.
- Strong judgment and problem-solving skills, including the ability to identify risks, prioritize competing demands, and manage escalations effectively.
- Excellent written, verbal, and cross-functional communication skills, with the ability to translate operational needs into actionable product and technology requirements.
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Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.
Our Rewards
We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.
