POSITION SUMMARY:
The Operations Manager, Wealth Management develops and implements operational policies and procedures for the Wealth Management division’s client service team and oversees the timely completion of projects and client deliverables. This role manages and mentors the team responsible for account maintenance, client onboarding, and CRM management, helps the team operate within the RIA’s compliance program, and maintains a foundational understanding of the investment management process to collaborate effectively with the Wealth Management team.
Key Responsibilities:
- Formulate strategic and operational objectives for the Wealth Management client service team.
- Implement and review operational policies and procedures.
- Coordinate the development of user manuals, training materials, and other documents as needed to enable successful implementation of new operational policies and procedures.
- Perform quality control reviews of team deliverables and ensure they meet firm quality standards before submission.
- Coordinate with firm partners and team members to keep projects on track against requirements, deadlines, and schedules.
- Establish effective project and team communication plans and ensure their execution.
- Meet with team members to identify and resolve issues and serve as a liaison between the team and the management team.
- Prepare status reports by gathering, analyzing, and summarizing relevant information, and assist with post-project evaluations to identify what worked and what did not.
- Support new business activities and account implementation, as assigned.
- Assist firm partners in recruiting, training, and supervising client service staff.
- Identify and implement ways to improve service quality, operational efficiency, and the client and advisor experience.
Client Service Team Oversight
- Maintain a working knowledge of high-touch client service standards and the department's technology platforms (e.g., Schwab Advisor Center, Fidelity Wealthscape, Orion Advisor, CRM) in order to effectively train and support the client service team.
- Ensure proactive communication practices are followed so that client correspondence and inquiries receive timely responses.
- Guide the team in assisting clients regarding account status, money movement, account services, and new technology.
- Oversee account document completion and client onboarding processes.
- Ensure client notes, data, and documents are accurately maintained within the firm's CRM system and digital files, in accordance with firm recordkeeping requirements.
- Support the creation and production of materials needed for client meetings.
- Provide cross-training to team members and assist with other operational functions as required.
- Understand the end-to-end client service lifecycle in order to support holistic planning and implementation.
Compliance Support
- Operate within the RIA's compliance program by ensuring that client service workflows, onboarding, and account maintenance follow its policies and procedures.
- Coordinate with the RIA's compliance team on questions and policy updates, and promptly escalate compliance concerns, errors, and policy exceptions.
- Support compliance reviews and audits by gathering documentation and responding to requests and track remediation items through completion.
Investment Operations & Trading Support
- Coordinate across client onboarding, account maintenance, and custodian interactions to ensure seamless execution of client requests and back-office functions, using working knowledge of custodial platforms (e.g., Schwab, Fidelity) and internal CRM systems to troubleshoot or escalate service issues.
- Maintain a working knowledge of trade execution and account rebalancing processes in order to support the investment operations function.
- Other ad hoc duties, as assigned.
Operations Manager Requirements
- Bachelor's degree or qualified experience.
- Prior experience in wealth management, financial services, or a related client service environment preferred.
- Compliance background or working knowledge of investment adviser compliance requirements preferred, with the ability to follow and apply established compliance policies and procedures.
- Investment adviser representative (IAR) registration or qualification preferred, ideally through the Series 65; or the Series 7 and Series 66 together.
- Knowledge of organizational effectiveness, operations management, and business and financial principles.
- Familiarity with wealth management technology platforms (e.g., Schwab Advisor Center, Fidelity Wealthscape, Orion Advisor, Redtail, Microsoft Dynamix) preferred.
- Foundational understanding of the investment management process, including trading, rebalancing, and custodial platforms.
- Leadership ability, with experience mentoring, training, and supervising staff, and the ability to build consensus and relationships among managers, partners, and employees.
- Excellent communication skills, both verbal and written.
- Outstanding organizational skills with extraordinary attention to detail.
- Possesses strong ethics and sound judgment, with the ability and dedication to maintain high confidentiality of personally identifiable client and firm information and to escalate compliance concerns appropriately.
*The expected annual salary for this position is $80,000 to $100,000 and will be impacted by factors such as the successful candidate’s skills, experience and working location, as well as the specific position’s business line, scope and level. HUB International is proud to offer comprehensive benefit and total compensation packages which could include health/dental/vision/life/disability insurance, FSA, HSA and 401(k) accounts, paid-time-off benefits, and eligible bonuses, equity and commissions for some positions.
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What we offer you
We invest in your growth. HUB offers structured training, licensing support, and ongoing development opportunities designed to accelerate your career. Benefits and programs vary based on employment status, role, location, and applicable eligibility requirements.
- Competitive pay with comprehensive health benefits, retirement savings matching, and company-paid life and disability plans
- Generous paid time off, paid parental leave and a wellbeing program designed to support real work/life balance
- A collaborative, high-performing culture with meaningful engagement, community impact through HUB Gives and genuine room to grow your career
