Operations Supervisor, Financial Services

Operations Supervisor, Financial Services

Joining an accomplished group of finance and investment professionals in a small office environment, you will enjoy much variety as you rely on your strong client service, technical savvy and people and project management skills.  You thrive working in a software intensive environment and embrace the minutia that comes with working in a highly regulated and detailed oriented environment.  

As Operations Supervisor you will play a key role in supporting the firm’s day-to-day operations and ensuring a smooth client service experience. This hands-on role oversees operational workflows, supports compliance and account administration, maintaining and enhancing relationships with vendors, and supervises the Client Services Administrator (CSA).

You will:

• Supervise the operations team, providing guidance, support, and performance oversight.

• Serve as another point of contact for clients on administrative and service requests.

• Manage and continuously improve operational workflows across client service, portfolio administration, billing, and reporting functions.

• Maintain and enhance CRM database integrity and workflows.

• Serve as a key liaison with custodians and technology vendors, maintaining and enhancing vendor relationships to ensure operational efficiency and alignment with the firm's objectives.

• Assist with compliance tasks, including document retention, trade monitoring, audit preparation, and regulatory filings (e.g., Form ADV updates).

• Lead internal technology initiatives and troubleshoot systems as needed.

• Make high-level website content changes.

• Support the firm’s strategic initiatives around operational scaling, technology optimization, and client experience improvement.

• Assist with HR and office management tasks, including onboarding new employees, managing vendor relationships, and coordinating internal meetings or events.

You have:

• 3+ years of operations experience within an RIA, wealth management firm, or financial services organization.

• Strong working knowledge of RIA operations, custodian platforms (Schwab, TD Ameritrade), and portfolio management systems (e.g., Advyzon, Portfolio Center, Orion).

• Familiarity with RIA compliance requirements preferred.

• Exceptional organizational skills and attention to detail.

• Proficient with Microsoft Office Suite, CRM systems, and document management platforms; experience with Salesforce administration is a plus.

• Excels in time management and prioritization, efficiently coordinating multiple operational tasks to ensure seamless support for advisors and timely, high-quality service for clients.

• Excellent interpersonal, communication, and problem-solving skills.

• Bachelor’s degree required; industry certifications (e.g., IACCP, FPQP, Series 65) are a plus.

Generous benefits including 25% contribution to SEP IRA.

Hire contingent on passing background and credit check.

$85-$100K