Manager, RIA Operations

APEX Fintech Services; Dallas (TX); On-site; USD 90,000 - 130,000; Full time

Job summary

Apex Fintech Solutions is seeking a Manager, RIA Operations & Client Service to build and lead a new team delivering service and operational support for the in-house RIA business. You will recruit, develop, and retain top talent, and define scalable service models, workflows, and performance standards.

You will partner with Compliance, Product, and other stakeholders to create a compliant, digitally enabled operating model that supports client outcomes and sustainable growth.

Qualifications

• Bachelor's degree in Business, Finance, Operations, Management, or a related field.
• FINRA securities licenses and/or professional credentials may be required or preferred.

Responsibilities

• Build and lead a customer service and operations team for Apex's in-house RIA business.
• Develop hiring plans, interview and onboard new team members.
• Set expectations, objectives, service standards and development plans.
• Define and continuously improve processes for RIA and sub-advisory services.
• Create SLAs, KPIs, quality controls, and reporting to measure performance.
• Collaborate with Compliance, Legal, Risk to ensure regulatory readiness.
• Partner with Product/Tech to enable digital, automated service experiences.

Skills

Leadership

Hiring & team development

Operations management

Regulatory compliance

Cross-functional collaboration

Education

Bachelor's degree in Business/Finance/Operations/Management

Tools

CRM software

Regulatory compliance tools

Job description

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.

At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest.

When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees.

Together, we're shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. - grit, results, empathy, accountability, and teamwork - with Apex.

We're proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we've created. Here are just a few of the many awards we've recently received:

Best Places to Work

2026, 2025, 2024, 2023 - Presented by BuiltIn

WealthTech of the Year

2025 - Presented by US FinTech Awards

The World's Top 250 Fintech Companies

2024 - Presented by CNBC

ABOUT THIS ROLE

The Manager, RIA Operations & Client Service will establish and lead a newly formed team responsible for delivering customer service and operational support for Apex's in-house Registered Investment Adviser (RIA) business. This leader will recruit, develop, and retain a high-performing team while defining scalable service models, workflows, controls, and performance standards. The role will support Apex's continued expansion beyond its industry-leading technology and clearing capabilities into B2B RIA services, enabling the firm to deliver RIA and sub-advisory solutions to additional clients. By partnering closely with Compliance, Product, and other business stakeholders, this position will create a digitally enabled, compliant, and seamless operating model that supports exceptional client outcomes and sustainable growth.

Position Summary

Category: Team Leadership, Hiring, and Development (30%)

• Build and lead a customer service and operations team supporting the launch and ongoing growth of Apex's in-house RIA business.
• Develop hiring plans, interview and select qualified talent, and establish onboarding and training programs for new team members.
• Set clear expectations, performance objectives, service standards, and development plans for direct reports.
• Foster a collaborative, accountable, and client-focused culture that is equipped to operate effectively in a dynamic growth environment.

Category: RIA Operations and Process Design (30%)

• Define, document, implement, and continuously improve operational processes and workflows supporting RIA and sub-advisory services.
• Establish scalable procedures for client onboarding, account servicing, issue resolution, operational requests, and escalation management.
• Develop service-level agreements, key performance indicators, quality controls, and reporting to measure team performance and client experience.
• Identify operational risks, bottlenecks, and opportunities for process simplification as the RIA business evolves.

Category: Regulatory Compliance and Risk Management (20%)

• Partner with Compliance, Legal, Risk, and other control functions to ensure operational processes align with applicable RIA, securities, and client-service regulatory requirements.
• Implement controls, documentation standards, supervisory procedures, and monitoring practices that support regulatory readiness.
• Escalate operational, client, and compliance concerns promptly and collaborate with stakeholders to drive appropriate resolution.
• Support internal audits, regulatory examinations, compliance reviews, and remediation activities as needed.

Category: Product Partnership and Digital Enablement (20%)

• Collaborate with Product, Technology, and Operations stakeholders to design digital, efficient, and seamless client and internal service experiences.
• Translate operational requirements, client feedback, and regulatory needs into product enhancements, automation opportunities, and workflow improvements.
• Participate in testing, implementation, and change-management activities for new systems, tools, and capabilities.
• Champion the adoption of technology and automation that improves accuracy, turnaround time, scalability, and the overall customer experience.

Education

Bachelor's degree in Business, Finance, Operations, Management, or a related field; equivalent relevant experience may be considered in lieu of a degree.

FINRA securities licenses and/or