Trading & Investment Operations Manager

Empirical is an independent RIA managing almost $10 billion in AUM and operating with offices in Washington, Oregon, California, Alaska, Utah, and Texas. Empirical provides financial guidance and execution of an integrated strategy of investments + tax + financial planning to high net worth individuals, families, non‑profit organizations and company retirement plans. Our goal is to take the accumulated wisdom of the past several decades of academic and empirical research and years of hands‑on experience to help investors grow and protect their wealth.

Empirical Wealth Management is one of the fastest growing financial services firms on the West Coast, currently directing the financial lives and managing assets for hundreds of individuals and businesses. We seek high caliber individuals who will succeed in a high opportunity business environment. Our market is comprised of high‑income tax bracket individuals and business owners, where our expertise in tax planning and tax sensitive investing provides added value.

The Trading & Investment Operations Manager is responsible for overseeing the firm’s trading infrastructure, investment operations workflows, and trading technology ecosystem. This role serves as the primary subject matter expert for trading systems and processes, ensuring efficient trade implementation, operational accuracy, regulatory compliance, and continuous improvement across the investment operations function. The ideal candidate combines deep trading operations expertise with strong systems knowledge, a process‑improvement mindset, and the ability to identify and implement scalable solutions across the investment organization.

• Oversee the administration, functionality, and optimization of the firm’s trading systems and related technologies, including platforms such as Tamarac, Schwab, FIX Flyer, and other portfolio management and trading applications.
• Serve as the firm-wide subject matter expert on trading systems, integrations, workflows, and best practices.
• Manage relationships with technology vendors and coordinate troubleshooting, upgrades, and enhancements.
• Participate in the evaluation, implementation, and ongoing assessment of investment team technologies and platforms, including tools such as Perform, Altruist, and other emerging solutions.

• Partner with investment leadership to evolve the firm’s trading and investment operations infrastructure by recommending scalable technologies, integrations, automation, and workflow improvements that support growth, efficiency, accuracy, and an enhanced advisor/client experience.

• Oversee daily trading operations and ensure timely, accurate execution of investment strategies across client accounts.
• Manage trading implementation processes, including:
  • Ensuring investment models are properly maintained and available for trading
  • Coordinating and monitoring block trades
  • Managing rebalancing workflows and trade allocations
  • Supporting portfolio transitions and account onboarding activities
• Monitor trade activity and operational controls to ensure compliance with firm policies and custodial requirements.
• Collaborate closely with portfolio management, compliance, and client service teams to support investment operations.

• Oversee ongoing GIPS compliance efforts, including coordination of required documentation, reporting, and internal processes.
• Partner with compliance and leadership teams to support audits, reviews, and regulatory requirements related to trading and investment operations.
• Ensure operational procedures align with firm policies, industry standards, and risk management practices.

• Bachelor’s degree in Finance, Business, Economics, or related field preferred.
• 5+ years of experience in trading operations, investment operations, or portfolio operations within a wealth management or investment management environment.
• Strong knowledge of portfolio management and trading systems, including experience with Tamarac, Schwab, FIX Flyer, and related platforms.
• Experience managing operational…