Operations Manager - Wealth Team

Operations Manager - Wealth Team

Location: Daytona Beach, FL (In-Office)
Company Type: Registered Investment Advisor (RIA)

We are a Registered Investment Advisor (RIA), located in Daytona Beach and Palm Coast, FL. We are a boutique practice with an affiliated CPA Firm providing our clients with holistic planning, investment management and tax preparation services to individuals, business entities, trusts, estates, and pension plans. Our philosophy is to serve our client’s needs through a firm approach. We pride ourselves on delivering exceptional client service and building lasting relationships with our clients.

We are seeking an experienced Operations Manager to lead and streamline our day-to-day operational functions. This role is critical to ensuring seamless client experiences, operational efficiency, and regulatory compliance. The ideal candidate will be a detail-oriented problem-solver who thrives in a collaborative, fast-paced environment and can manage multiple priorities effectively.

• Oversee and optimize daily operational workflows across the firm
• Manage and mentor a team of approximately 5 employees
• Develop and implement standard operating procedures to enhance efficiency and scalability
• Identify process improvements and implement best practices
• Generate operational reports and metrics for leadership

• Manage Salesforce workflows, tasks, and automation
• Ensure accurate client data management and reporting
• Oversee technology integrations and vendor relationships
• Train team members on system usage and best practices

• Oversee client onboarding processes from initial documentation through account setup
• Manage client offboarding procedures, ensuring proper documentation and transitions
• Coordinate with advisors and custodians to ensure smooth client experiences
• Maintain high standards for client service delivery
• Collaborate with advisors on client account administration

• Ensure adherence to SEC and state regulatory requirements
• Maintain compliance calendar and coordinate required filings
• Assist with annual audits and regulatory examinations
• Keep policies and procedures current with regulatory changes
• Support business continuity and disaster recovery planning
• Coordinate with external vendors and service providers

• 5+ years of operations experience in wealth management, RIA, or financial services
• Series 65 or equivalent licensing (or obtain within first 3 months)
• Strong working knowledge of Salesforce CRM (or similar platforms)
• Solid understanding of RIA compliance requirements and regulatory environment
• Experience with client onboarding/offboarding processes
• Proven leadership and team management skills
• Exceptional attention to detail and organizational abilities
• Strong communication skills (written and verbal)
• Bachelor’s degree in business, Finance, or related field
• Experience working with Raymond James custodian platform preferred

• Competitive salary based on experience
• Health benefits package 401(k) with company match
• Paid time off and holidays
• Professional development opportunities
• Opportunity to make a significant impact in a growing firm