Client Services Operations Lead - Wealth Management
Listed on 2026-06-18
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Finance & Banking
Risk Manager/Analyst, Financial Compliance, Financial Services
Client Services Operations Lead - Wealth Management
Tempe, AZ | $75K - $80K+ 10% Bonus + Benefits
We’ve partnered with a growing wealth management platform seeking a licensed Client Services Operations Lead to support account services, principal review, operational controls, and advisor-facing service processes. This is a senior individual contributor role for someone who enjoys being the go-to SME, helping resolve complex issues, reviewing important client documentation, and supporting operational improvements without needing direct reports.
What You’ll Be Doing:- Review complex client/account documents for accuracy and compliance
- Handle POAs, corporate resolutions, LLC documents, margin applications, and check writing applications
- Resolve complex NIGO issues and document exceptions
- Support advisor, legal, compliance, and internal service teams
- Own forms updates, signature guarantee procedures, and related controls
- Build weekly/quarterly reports tied to service, risk, and operational trends
- Support process improvement and project work within Account Services
- Mentor team members on complex service and documentation issues
- Series 7 required
- Series 24 required
- Series 63 or 66 preferred or willing to obtain
- 4+ years financial services operations experience
- Broker-dealer, wealth management, RIA, or advisor support background
- Strong understanding of FINRA / SEC requirements
- Experience with principal review, client documents, NIGO items, or account services preferred
- Comfortable hybrid in Tempe, AZ
MOHR Talent is an equal‑opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at
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