Finance Operations Manager

Position Summary

The Operations Manager will be responsible for overseeing the daily operations of the wealth planning and investment advisory teams, ensuring operational efficiency, service quality, and regulatory compliance. This role requires a strategic leader who can build and guide a high-performing team, manage client account operations, and drive continuous process improvement to deliver an exceptional client experience.

Key Responsibilities

· Oversee day-to-day operations across financial planning, portfolio management, and advisory functions.

· Develop and implement effective administrative systems, policies, and procedures.

· Manage and mentor a high-performing operations team with a focus on service quality, risk management, and client satisfaction.

· Collaborate with senior leadership on organizational strategy, risk mitigation, and operational improvements.

· Ensure smooth onboarding for new clients and maintain strong custodial relationships with service providers.

· Manage client account operations, including account openings, ACATs, transfers, contributions, distributions, and wires.

· Handle money movement with precision and ensure accuracy in all financial transactions.

· Oversee tracking and reporting of assets under management (AUM) and revenue goals.

· Maintain compliance with regulatory standards and internal firm policies.

· Provide leadership in trial meetings, offsites, and weekly operational reviews with the CEO.

· Maintain the firm’s client document center and ensure database integrity (Redtail, NetDocuments).

· Support client communications, including correspondence, scheduling, and vendor management.

Qualifications

· Education: Bachelor’s degree required.

· Experience: 2–4 years of experience in the financial services industry (Series 65 license preferred).

· Strong organizational and multitasking skills with the ability to manage competing priorities.

· Demonstrated leadership and team management experience.

· Excellent written and verbal communication skills.

· Proficiency with Microsoft Office Suite; experience with Redtail, NetDocuments, and custodial platforms is a plus.

Job Type: Full-time

Pay: $86,000.00 - $98,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Ability to Commute:

• Scottsdale, AZ 85250 (Required)

Work Location: In person

Salary : $86,000 - $98,000