Operations Manager

Reports To
:
Chief Operating Officer (COO)

The RIA Operations Manager is responsible for managing the day-to-day operational activities of our Red Bank, NJ office. As a single-office Registered Investment Advisor (RIA), this role is central to supporting trading operations, compliance functions, and client service activities for Private Wealth and Retirement clients.

This position involves varied responsibilities, shifting priorities, and special projects. The individual will handle sensitive and confidential information and must ensure all work is performed in compliance with SEC regulations and governance requirements applicable to an RIA.

• Respond promptly and professionally to client service requests
• Process client requests for distributions, transfers, and other money movement activities in accordance with firm procedures and compliance requirements
• Coordinate wire transfers, ACH transactions, and account funding requests
• Support trading and portfolio operations
• Execute quarterly management fee billing
• Manage distribution of Advisory Agreements and client onboarding documentation
• Maintain client records in compliance with FINRA and SEC requirements
• Assist with quarterly client reporting
• Support Form 13F filings and compile data for annual ADV submission
• Assist with regulatory and compliance initiatives as requested
• Interface with third-party custodians, vendors, and service providers

• High degree of professionalism and discretion
• Experience opening brokerage and custodial accounts
• Knowledge of RIA operational and regulatory requirements
• Proficiency in Microsoft Office Suite and web-based financial systems
• Experience using Docu Sign
• Strong organizational and communication skills
• Strong attention to detail
• Ability to collaborate effectively in a team environment