Wealth Operations Manager

Job Description

*Amazing Opportunity with Gulf Winds Credit Union*

Wealth Operations Manager

Gulf Winds Credit Union

Pensacola, FL

Position Summary

This role serves as the operational leader of the wealth management program and the central point of coordination among advisors, support staff, the broker-dealer, and internal credit union partners. This role is responsible for creating a consistent, high-service client experience while ensuring the business operates efficiently, accurately, and within regulatory and firm requirements. This role builds scalable processes, controls, and team structure that support continued growth of the wealth management program.

Essential Duties + Responsibilities

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• Own the marketing coordination process between the credit union and broker-dealer, helping align campaigns, approvals, materials, events, communications, and brand requirements.
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• Manage daily operational workflow including account opening, transfers, distributions, money movement, maintenance, service requests, and escalation management.
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• Own the compliance portion of the wealth management business, serving as the internal point person for compliance processes, documentation, correspondence, licensing, exceptions, audits, and required follow-up in coordination with the broker-dealer.
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• Serve as a primary liaison with the broker-dealer/home office for operations, technology, compliance, service issues, and process improvements.
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• Maintain operational controls, written procedures, documentation standards, dashboards, and reporting that improve consistency and reduce risk.
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• Oversee client onboarding, transitions, recurring service workflows, annual review support, RMD tracking, beneficiary updates, and account maintenance. Partner with branch and credit union teams to support referrals, track opportunities, and ensure follow-through across departments.
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• Lead future Client Service Associates (CSAs) as direct reports, including workload management, accountability, training, coaching, development, and performance expectations. Support recruiting, onboarding, and integration of future advisors and staff as the wealth program expands.
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• Other job-related duties as assigned.
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Performance Measurements

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• Ensure the efficient turnaround of marketing materials by minimizing the time between credit union creation and broker-dealer approval.
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• Maintain an exceptional standard of accuracy for all distributed marketing collateral, ensuring full compliance with both credit union brand standards and broker-dealer disclosure requirements.
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• Maintain a continuous state of audit readiness, ensuring all compliance files, logs, and processes meet or exceed the standards of external broker-dealer and internal credit union reviews.
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• Oversees the accurate and timely tracking of advisor licensing, continuing education, and mandatory compliance logs to eliminate regulatory gaps.
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• Establish, document, and regularly update written standard operating procedures to reduce operational risk and support program growth.
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Knowledge and Skills

Experience - Five years to eight years of similar or related experience. Prior experience in wealth management, brokerage, RIA, bank, or credit union investment operations strongly preferred.

Education - (1) A bachelor's degree, or (2) achievement of formal certifications recognized in the industry as equivalent to a bachelor's degree (e.g., information technology certifications in lieu of a degree).

Interpersonal Skills - Work involves extensive personal contact with others and is of a personal or sensitive nature. Motivating, influencing, and/or training others is key at this level. Outside contacts become important and fostering sound relationships with other entities (companies and/or individuals) becomes necessary and often requires the ability to influence and/or sell ideas or services to others.

Other Skills

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• Strong working knowledge of brokerage operations, advisory accounts, retirement accounts, client service, and regulatory requirements.
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• FINRA Series 7 and Series 66, or equivalent combination such as Series 63 and 65, strongly preferred.
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• Series 24 preferred for a candidate performing supervisory functions, or willingness and ability to obtain if required.
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• Experience working with a major broker-dealer platform, CRM/workflow systems, and compliance processes preferred.
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• Demonstrated leadership ability with the capacity to manage people as the support team grows.
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Workplace Environment

The position is based in-office in our Pensacola, Florida market, operates primarily in an office setting, and routinely uses standard office equipment such as computers, printers, and phones. This position requires consistent presence in the office to collaborate with team members and fulfill job responsibilities effectively. It requires the ability to actively participate in conference calls and meetings with other Credit Union team members and vendors. The normal expected work schedule is Monday through Friday, 8:30am to 5:00pm but may be required to work nights and/or weekends. Must adhere to safety rules and regulations.