Operations Manager

Operations Manager 

Hybrid Office Policy - 1 day / week working from home

Position Summary 

The Client Operations Manager serves as a central hub for ensuring exceptional client service, operational efficiency, and firm compliance. This individual oversees the full client onboarding and servicing process, ensuring every client interaction reflects the firm’s high standards of care. The role is responsible for developing and maintaining scalable systems and workflows that enhance productivity and support firm growth.

Working closely with firm partners, advisors, and external professionals, the Client Operations Manager coordinates across departments to manage client needs, ensure regulatory compliance, and support daily business operations. The ideal candidate is highly organized, proactive, and committed to delivering an outstanding client experience while maintaining operational excellence.

  

Responsibilities:      

• Manage the client onboarding process from paperwork through full integration.
• Ensure all items in our “Recommendations and Primary Considerations” document are fulfilled — including coordination with attorneys, CPAs, insurance professionals, and outside asset coordination, etc.
• Oversee and execute a client meeting checklist to ensure consistency and thoroughness.
• Oversee and ensure “client service spreadsheet” is updated (or utilizing alternate system)
• Track and support ongoing service needs, ensuring clients feel cared for and confident in referring friends and family.
• Implement and maintain systems to track meetings, services, and follow-ups (moving beyond spreadsheets where possible).
• Manage and optimize workflows within our CRM (Wealthbox).
• Develop repeatable, scalable processes to support firm growth.
• Assist the CCO with compliance oversight.
• Coordinate with our external compliance consultant (Polaris) to ensure timely filings, testing, and documentation.
• Monitor firm practices to ensure they remain consistent with SEC requirements.
• Maintain compliance records, logs, and calendars.
• Help prepare for annual reviews, regulatory filings, and staff training.
• Take ownership of tasks currently handled by partners (meeting prep, onboarding follow-up, task tracking).
• Support and oversee staff to ensure thorough meeting preparation
• Assist with HR tasks, including hiring, employee onboarding, benefits, and compliance requirements.
• Manage payroll and bookkeeping support in coordination with external providers.
• Oversee day-to-day office operations – cleanliness, organization, maintenance and building liaison. 

 

Qualifications & Skills: 

• Bachelor’s degree in Business Administration, Finance, or a related field preferred.
• 7+ years of experience in financial services, wealth management, or a professional services environment.
• Demonstrated experience managing client service processes, operations, or compliance support within a registered investment advisory (RIA) firm or similar organization.
• Familiarity with CRM systems (preferably Wealthbox) and workflow automation tools.
• Experience working with custodians such as Charles Schwab, including onboarding, account maintenance, and operational processes.
• Working knowledge of SEC compliance requirements for advisory firms a plus.

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