Operations Manager

The Operations Manager is responsible for leading the client service operations function, overseeing key activities including account opening, asset transfers, client reporting, account maintenance, and other operational workflows across multiple custodian platforms. This role supervises the Operations team, ensuring effective workload distribution, operational efficiency, adherence to service standards, and the timely execution of daily business objectives.

Job Responsibilities/Main Functions

Client Services

• Reviews and approves the opening of new accounts received from Investment Professionals across various custodians.
• Reviews end client’s financial information, investment objectives, source of funds and net worth ensuring compliance with established requirements and plausibility.
• Handles operational escalations directly with clients and/or other internal resources from the firm.
• Supervises department personnel ensuring client service is provided timely and in line with established company policies and procedures.

Asset Management

• Reviews and approves wire transfers, check requests, deposits, internal journals, account transfers and free deliveries for clients following established company policies and compliance regulations.
• Reviews and approves trade corrections.

Process Improvement, Technology & AI

• Identify manual, repetitive, or error-prone workflows and lead practical improvements using the firm’s approved tools (e.g., Microsoft 365, SharePoint, Power Automate, Power Apps).
• Champion the responsible adoption of AI assistants (e.g., Microsoft 365 Copilot) for tasks such as summarizing cases, drafting communications, reconciling data, and preparing reports — always with human review of outputs.
• Build and maintain shared trackers, dashboards, and exception logs that give the team and leadership real-time visibility into queues, SLAs, and open items.
• Ensure all technology and AI use complies with firm policy on data privacy, client confidentiality, information security, and recordkeeping; no client data is used in unapproved tools.
• Partner with IT, Compliance, and vendors to test, document, and roll out new tools and workflow changes, and train the team on adoption

Other Functions

• Conducts staff meetings to discuss operational and client tasks as well as other human resources matters.
• Distributes workload within the department personnel to comply with daily plans for the area.
• Participates in the staffing and selection of personnel under his/her supervision.
• Supervises all employees ensuring tasks, responsibilities and plans are carried out as per daily, weekly, and monthly plans.
• Provides input to department Head on areas related to Performance Management and other human resources policies and programs.
• Ensures team is always up to date on latest updates to firm policies and procedures.
• Point of contact for internal projects that may involve the area.
• Record keeping responsibilities.

Job Requirements (Education and Experience)

• Bachelor’s degree in business administration or related field (or equivalent work experience).
• Minimum of five (5) years of work-related experience.
• FINRA License 7, 66 and 24 or 9/10.

Job Requirements (Knowledge, Skills, and Capabilities)

• Knowledge of FINRA rules (Financial Industry Regulatory Authority).
• Extensive knowledge of the financial industry products and services.
• Understanding of multi-custodian platform management.
• Knowledge of Pershing Systems Platform a plus.
• Knowledge of industry regulations.
• Knowledge of account opening and management.
• Knowledge of asset movement.
• Ability to understand legal documentation.
• Knowledge of AML/Compliance regulations.
• Ability to understand financial/accounting data and reports.
• Time management, multi-tasker and analytical skills.
• Excellent communication skills both written and verbal.
• Ability to work in a team, fast paced environment
• Fluent in English and Spanish.