Operations Manager

About the role

We are creating an Operations Manager position to strengthen our client service leadership and build the scalable infrastructure needed for HBCM’s next stage of growth. This person will initially serve as a senior resource and working leader for our service team members, helping establish consistent service standards, improve workflows, and ensure that client needs are handled accurately, proactively, and with exceptional care. Over time, the role is expected to grow into formal people management and broader firmwide operational leadership.

Responsibilities

• Serve as the senior resource for our Client Service Associates and Client Relationship Consultants, helping resolve complex service issues, prioritize competing needs, and maintain consistent follow-through.
• Model and reinforce HBCM’s standards for responsive, accurate, warm, and proactive client service.
• Provide day-to-day guidance, coaching, and feedback to client service team members, with formal supervisory responsibility expected to increase over time.
• Lead onboarding, training, cross-training, and ongoing professional development for client service team members.
• Help define clear roles, responsibilities, service standards, and accountability across the client service team.
• Review client service workflows, account documentation, and high-impact requests for completeness, accuracy, timeliness, and appropriate escalation.
• Coverage coordination, helping ensure continuity during absences, peak periods, and shifting priorities.
• Facilitate effective team meetings, workflow reviews, and communication between advisors, client service team members, financial planning staff, and firm leadership.
• Support performance management by documenting expectations, recognizing strong performance, addressing gaps promptly, and partnering with firm leadership on development plans.
• Identify recurring client-service friction points and promote a culture of ownership, collaboration, continuous improvement, and early escalation of errors or risks.
• Step into client service work when needed, including account opening and maintenance, money movement, transfers, distributions, required documentation, and coordination with custodial or Raymond James resources.
• Create, document, and regularly evaluate core operating procedures, workflows, checklists, service calendars and quality-control processes to create a scalable client experience while reducing errors and dependence on individual memory.
• Drive consistent and effective use of CRM and other firm technology, including task management, client records, documentation, reporting, and workflow tracking.
• Maintain an operations manual and ensure procedures remain current as technology, staffing, business needs, and regulatory expectations evolve.
• Develop practical service and operational metrics to identify backlogs, capacity constraints, recurring errors, and opportunities for improvement.
• Partner with firm leadership, Raymond James, and FINRA/SEC compliance resources to ensure operating procedures, documentation, approvals, client information handling, and supervisory follow-through align with regulatory requirements.
• Coordinate operational and compliance activities, including required audits, licensing and registration tracking, business continuity planning, records retention, staff training, technology and security due diligence, and employee policy updates, as applicable.
• Identify operational risks, control gaps, and recurring errors, recommend corrective actions and monitor implementation.
• Partner with the firm’s owners and leadership team to translate strategic priorities into clear operating plans, responsibilities, timelines, and follow-through.
• Evaluate staffing capacity, organizational structure, role design, and resource needs as the firm grows.
• Coordinate cross-functional initiatives that affect client service, advisor efficiency, employee experience, client experience, technology, compliance, and profitability.
• Support annual planning, budgeting, vendor management, office operations, and implementation of leadership decisions.
• Establish meeting rhythms, dashboards, and accountability systems that help the leadership team monitor progress and resolve obstacles.
• Gradually assume broader responsibility for firm operations and people leadership.

Requirements

• 5+ years of relevant experience in wealth management, investment advisory, brokerage, financial planning, or a similarly regulated client-service environment.
• Strong knowledge of client account operations, service workflows, documentation standards, and the practical demands of supporting advisors and clients.
• Demonstrated ability to lead, coach, organize, and influence colleagues, including without relying solely on formal authority.
• Exceptional judgment, discretion, communication, follow-through, attention to detail, and commitment to accuracy.
• Prowess with CRM systems, Microsoft Office, document management, and workflow or project-management tools.
• Bachelor’s degree or equivalent combination of education and relevant experience.

Qualifications

• Active SIE, Series 7, Series 66, and Series 9/10 licenses, or willingness and ability to obtain relevant registrations as required.
• Experience with practice management, operational consulting, EOS or similar operating systems, technology implementation, or organizational design.

Skills

• Service-minded, collaborative leadership style and genuine enthusiasm for helping colleagues succeed.

Benefits

Competitive compensation and benefits, with support for professional development.

Pay

TBD

Schedule

TBD