Manager, RIA Operations

PEAK6; Dallas (TX); Hybrid; USD 110,000 - 160,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Paid time off (PTO)

Parental leave

HSA contribution

Calm app subscription

Job summary

Apex Fintech Solutions seeks a Manager, RIA Operations to build and lead a high-performing team delivering client service and operations for the RIA business. This role partners with Compliance, Product, and Risk to ensure scalable processes and regulatory alignment.

The ideal candidate has 5+ years in financial services operations, strong leadership, and experience scaling operations in a fast-growing environment. Hybrid work with competitive benefits is offered.

Qualifications

• Bachelor’s degree in business, finance, operations, or related field.
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Responsibilities

• Build and lead a customer service and operations team for Apex’s in-house RIA business.

Skills

Leadership

Regulatory knowledge

Project management

Communication

Team development

Education

Bachelor’s degree in Business/Finance/Operations

FINRA Series 7 & 66 preferred

Job description

Manager, RIA OperationsThis website uses cookies to enhance user experience and to analyze performance and traffic on our website. Some of these cookies will share information about your visit with our analytics partners to provide us with further insights, please accept or decline these cookies below.# Careers## Manager, RIA OperationsApply: Dallas, TX: Full time: Posted Yesterday: JR105381**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 investment adviser-related credentials are preferred or must be obtained, as required by the business and regulatory obligations. Series 7 & Series 66 or Series 65 required* Additional coursework or certification in financial services operations, project management, compliance, or process improvement is preferred. ## **Work Experience*** Five or more years of progressive experience in financial services operations, client service, wealth management, broker-dealer operations, investment advisory services, or a related environment.* Two or more years of direct people-management experience, including hiring, coaching, performance management, and team development.* Experience building, scaling, or transforming operational teams, processes, and service models in a fast-paced or growth-stage environment.* Experience supporting Registered Investment Adviser, broker-dealer, custody, clearing, wealth management, or fintech operations is strongly preferred.* Demonstrated experience partnering with Compliance, Legal, Product, Technology, and Risk teams to implement compliant operational processes. ## **Knowledge, Skills, and Abilities*** Strong knowledge of client service and operational practices within regulated financial services environments.* Ability to design scalable workflows, operating procedures, service standards, controls, and performance metrics.* Demonstrated leadership ability with a track record of building engaged, high-performing, and accountable teams.* Strong judgment and problem-solving skills, including the ability to identify risks, prioritize competing demands, and manage escalations effectively.* Excellent written, verbal, and cross-functional communication skills, with the ability to translate operational needs into actionable product and technology requirements. #operations #manager #fulltime #LI-MJ1 #APEX *Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.***Our Rewards**We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.**EEO Statement**Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.**Disability Statement**Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.