Operations Manager, Wealth Management

What You'll Do

• Prepare meeting notes, agendas, pre-meeting research, and follow-up materials ahead of client meetings.
• Manage the Lead Advisor's calendar, priorities, and follow-up items with structure and attention to detail.
• Translate direction into organized, trackable action and own the follow-through after meetings end.
• Interact with prospective and existing clients for inquiries, requests, and service; execute client and Advisor-requested trades.

Client Service Oversight

• Serve as the primary point of contact for incoming calls, voicemail, email, and office traffic.
• Maintain client records and tasks in Salesforce, server, and paper files to the highest standard of accuracy.
• Oversee resolution of client service requests with care, precision, and consistent follow-through.
• Provide informal guidance to the Client Service Representative on workflows, standards, and client service best practices.

• Oversee branch-wide reports and ensure timely action across the team.
• Manage quarterly rebalancing of I.R. Models and bulk trades; oversee check deposits, mailing, supply orders, and petty cash.
• Prepare quarterly billing for discretionary client accounts, financial planning invoices, BAA billing, and trade sheets.
• Cook up client gifts, birthday cards, Advisor outreach, and key event logistics; confirm Advisor state registrations.

Compliance & Investment Committee Support

• Maintain the branch ad file and serve as the point of contact for the annual compliance audit.
• Print and organize Investment Committee materials including model holdings, watch lists, SMAs, and custom investments.
• Oversee custom account benchmarking and ensure all compliance documentation is accurate and audit-ready year-round.

Requirements

• 3–5+ years of experience in wealth management operations or a similar client-facing, licensed support role.
• Familiarity and experience with Schwab.
• Experience with Salesforce CRM preferred.
• Experience with Orion.
• Prior experience in a lead or senior support role preferred.

Skills & Competencies

• Calm, composed, and dependable in a fast-moving environment.
• Anticipates needs before they surface and translates direction into organized, trackable action.
• High service ethic with genuine investment in client outcomes.
• Strong written and verbal communication skills.
• Takes initiative without being asked; looks for ways to support teammates proactively.
• Sounds independent judgment with a strong work ethic and commitment to doing things right the first time.

Technology & Tools

• Proficient in Microsoft Excel, Word, Outlook, PowerPoint, and Adobe PDF.
• Salesforce CRM experience preferred.
• Familiarity with Schwab platforms and reporting tools.
• Proficiency with AI tools such as Claude, ChatGPT, or Microsoft Copilot to improve productivity, communication, and workflow efficiency.

Education

• Bachelor's degree strongly preferred; high school diploma required.
• Series 65 required; Series 7 a plus.

Benefits And Compensation

• Salary: $90,000-$100,000.
• Health Insurance: 3%.
• 401k contribution.
• Long Term and Short Term Disability.
• Life Insurance.
• Dental and Vision.