Manager, Brokerage & Advisory

Manager, Brokerage & Advisory

Job Description

The Manager, Brokerage & Advisory is responsible for leading and overseeing all brokerage and advisory operations functions across the firm. This role reports directly to the President & CEO during an initial phase of operational transition and infrastructure buildout, with an expected transition to the Chief Operating Officer.

This individual will lead the Brokerage and Advisory Operations teams while also playing a key role in stabilizing, scaling, and modernizing the firm’s operational framework. The position requires a hands-on leader who can drive day-to-day execution, build structure and accountability, and implement process improvements that support advisor growth and firm-wide efficiency.

Location & Work Structure

This position is based in Boca Raton, Florida. Candidates must be located in or willing to relocate to the Boca Raton area.

Roles and Responsibilities

Leadership & Team Management

• Lead, develop, and manage the Brokerage and Advisory Operations teams, including hiring, training, coaching, and performance management
• Conduct quarterly and annual performance reviews and establish clear accountability standards
• Build a scalable team structure aligned with firm growth and operational demands
• Foster a high-performance, service-oriented culture across the operations function

Brokerage & Advisory Operations Oversight

• Oversee day-to-day brokerage and advisory operations, including trading, cashiering, account maintenance, and asset movement across all custodians
• Supervise trade execution, allocation, and review across equities, fixed income, mutual funds, alternatives, and advisory platforms
• Review trade blotters, exception reports, and activity reports across Pershing, Schwab, RBC, and external RIAs
• Monitor margin activity and ensure timely communication and resolution with representatives
• Oversee alternative investment processing, ensuring accuracy and timeliness at each stage
• Ensure proper handling of trade errors, rejects, and documentation for audit and regulatory purposes

Advisor & Branch Support

• Serve as a key escalation point for advisors and internal teams on trading, account, and operational issues
• Support onboarding of new advisors, including training on custodial platforms and operational workflows
• Assist advisors in navigating Pershing NetX360, Schwab Advisor Center, RBC Nexus, Envestnet, and related systems
• Partner with advisors to resolve complex operational issues, including transfers, margin, and account servicing

Process Improvement & Strategy

• Identify and implement process improvements to increase efficiency, reduce risk, and enhance advisor experience
• Evaluate current workflows and systems to streamline operations and reduce manual processes
• Partner with senior leadership to align operations with broader firm strategy, including growth and advisor recruiting initiatives
• Reduce operational inefficiencies, including minimizing house account volume and improving processing timelines

Risk Management & Compliance Support

• Ensure adherence to SEC, FINRA, and state regulatory requirements across all operational functions
• Review and monitor exception reports for best execution, trading activity, and compliance risks
• Partner with Compliance and Supervision teams to support audits, branch exams, and regulatory inquiries
• Maintain accurate records and documentation to support internal and external audits

Reporting & Collaboration

• Provide regular reporting on trading activity, volumes, and operational metrics to senior leadership
• Collaborate closely with the COO, CCO, Finance and Technology teams
• Support firm initiatives related to technology, platform enhancements, and operational infrastructure

Abilities and Experience Required

• Extensive experience in brokerage and advisory operations within a broker-dealer and/or RIA environment
• Strong working knowledge of Pershing, Schwab, and RBC platforms
• Experience with Envestnet and advisory billing platforms preferred
• Deep understanding of brokerage operations including trading, cashiering, account onboarding, and transfers
• Strong knowledge of SEC, FINRA, and state regulatory requirements
• Proven leadership experience managing and developing high-performing teams
• Ability to prioritize and execute in a fast-paced, high-volume environment
• Strong problem-solving skills with a focus on process improvement and efficiency
• Ability to communicate effectively with advisors, vendors, and internal stakeholders
• High level of accountability, ownership, and attention to detail

Minimum Licensing and Requirements

• FINRA Series 7, 24, and 66 (required)

Compensation & Benefits

• Competitive base salary plus performance-based incentives
• 401(k) with company match
• Health, dental, and vision insurance
• Flexible spending and health savings accounts
• Paid time off and employee assistance programs