Operations & Personel Manager for Wealth Mgmt Firm

Job Description

Job Description

Operations Manager

Financial Planning & Wealth Management Firm

Location: In-Office

Compensation: $90,000 – $110,000 + Benefits

Reports To: CEO

Direct Reports: Administrative & Operations Staff

About the Role

We are seeking an experienced Operations Manager to oversee the day-to-day operations of a growing financial planning firm. This individual will serve as the operational leader of the organization, ensuring that people, processes, technology, compliance, marketing, and strategic initiatives are aligned to support business growth and deliver an exceptional client experience.

This is a highly visible leadership role that works closely with advisors, administrative staff, compliance partners, vendors, and executive leadership. The ideal candidate is organized, proactive, process-driven, and comfortable balancing strategic planning with hands-on execution.

Key Responsibilities
Operational Leadership

• Lead and support daily business operations across the firm
  
• Drive accountability, efficiency, and continuous improvement
  
• Facilitate team meetings, departmental check-ins, and operational reviews
  
• Monitor workflows, workloads, and key performance indicators (KPIs)
  
• Identify and resolve operational bottlenecks
  
• Support leadership in executing strategic initiatives and business goals
  

Human Resources & Team Development

• Manage recruiting, onboarding, and employee offboarding
  
• Coordinate employee performance reviews and development plans
  
• Maintain employee records, policies, and HR documentation
  
• Support employee engagement, retention, and culture initiatives
  
• Assist leadership with coaching, accountability, and succession planning
  

Process Improvement & Systems Management

• Maintain and improve operational processes and standard operating procedures (SOPs)
  
• Ensure business documentation remains current and organized
  
• Identify opportunities for automation and workflow improvements
  
• Support business continuity planning and operational scalability
  

Compliance & Risk Coordination

• Partner with compliance providers to support regulatory requirements
  
• Coordinate compliance reviews, audits, and training initiatives
  
• Assist with document retention, access controls, and risk management efforts
  
• Ensure operational processes align with compliance standards
  

Marketing & Event Management

• Coordinate client events, seminars, workshops, and appreciation programs
  
• Manage event logistics, vendors, registrations, and communications
  
• Support marketing initiatives including newsletters, social media, website updates, and client engagement campaigns
  
• Track event and marketing performance metrics
  

Strategic Projects

• Lead special projects from planning through implementation
  
• Coordinate technology upgrades, CRM optimization, and operational improvements
  
• Manage project timelines, deliverables, and accountability
  
• Provide leadership with regular project updates and recommendations
  

Technology & Vendor Management

• Oversee vendor relationships and software platforms
  
• Conduct annual technology and vendor reviews
  
• Manage software subscriptions, equipment purchases, and system enhancements
  
• Evaluate opportunities to improve efficiency through technology
  

• Operational initiatives are completed on time and executed effectively
  
• Employees are supported, developed, and held accountable
  
• Systems, processes, and documentation remain organized and audit-ready
  
• Marketing and client events are delivered professionally and on schedule
  
• Leadership receives accurate reporting and actionable operational insights
  
• The firm operates efficiently, consistently, and is positioned for long-term growth
  

RequirementsQualifications

• 5+ years of operations, business management, or practice management experience
  
• Experience leading teams and managing cross-functional projects
  
• Strong organizational and project management skills
  
• Excellent communication and leadership abilities
  
• Ability to manage multiple priorities in a fast-paced environment
  
• Experience developing processes and improving operational efficiency
  
• High attention to detail and strong problem-solving skills
  
• Proficiency with business systems, CRM platforms, and productivity software
  
• Financial services, wealth management, or professional services experience preferred
  

BenefitsBenefits

• Paid Time Off
  
• Paid Holidays
  
• Medical, Dental & Vision Insurance
  
• 401(k)
  
• Life Insurance Options
  
• Short-Term & Long-Term Disability Coverage