Operations Manager - Wealth Management

Keyes, Stange & Wooten Wealth Management, LLC; Daytona Beach Shores (FL); On-site; USD 90,000 - 125,000; Full time

Benefits offered by this job

Health benefits

401(k) with company match

Paid time off

Holidays

Opportunity to impact growth

Job summary

Keyes, Stange & Wooten Wealth Management, LLC in Daytona Beach Shores, FL seeks an experienced Operations Manager to streamline daily functions, enhance client experiences, and ensure regulatory compliance within a boutique RIA setting.

You will lead a team of about 5, manage Salesforce workflows, oversee onboarding/offboarding, and collaborate with advisors and custodians to maintain data accuracy and service quality. A strong focus on process improvement and continuity is essential.

Qualifications

• 5+ years of operations experience in wealth management, RIA, or financial services.
• Strong knowledge of Salesforce CRM (or similar platforms).
• Solid understanding of RIA compliance requirements and regulatory environment.
• Experience with client onboarding/offboarding processes.
• Proven leadership and team management skills.
• Excellent attention to detail and organizational abilities.

Responsibilities

• Oversee and optimize daily operational workflows across the firm.
• Manage and mentor a team of approximately 5 employees.
• Develop and implement standard operating procedures to enhance efficiency.
• Identify process improvements and implement best practices.
• Generate operational reports and metrics for leadership.
• Manage Salesforce workflows, tasks, and automation.
• Ensure accurate client data management and reporting.
• Oversee technology integrations and vendor relationships.
• Train team members on system usage and best practices.
• Oversee client onboarding processes from initial documentation through account setup.
• Coordinate with advisors and custodians to ensure smooth client experiences.
• Maintain high standards for client service delivery.
• Collaborate with advisors on client account administration.

Skills

Operations management

Team leadership

Regulatory compliance

Client onboarding

Communication

Project management

Education

Bachelor's degree in business, Finance, or related field

Series 65 licensing

Tools

Salesforce CRM

Job description

Company Type: Registered Investment Advisor (RIA)

About Us

We are a Registered Investment Advisor (RIA), located in Daytona Beach and Palm Coast, FL. We are a boutique practice with an affiliated CPA Firm providing our clients with holistic planning, investment management and tax preparation services to i ndividuals, business entities, trusts, estates, and pension plans. Our philosophy is to serve our client’s needs through a firm approach. We pride ourselves on delivering exceptional client service and building lasting relationships with our clients.

Position Overview

We are seeking an experienced Operations Manager to lead and streamline our day-to-day operational functions. This role is critical to ensuring seamless client experiences, operational efficiency, and regulatory compliance. The ideal candidate will be a detail-oriented problem-solver who thrives in a collaborative, fast-paced environment and can manage multiple priorities effectively.

Key Responsibilities

Operations Management

• Oversee and optimize daily operational workflows across the firm


• Manage and mentor a team of approximately 5 employees


• Develop and implement standard operating procedures to enhance efficiency and scalability


• Identify process improvements and implement best practices


• Generate operational reports and metrics for leadership


• Manage Salesforce workflows, tasks, and automation


• Ensure accurate client data management and reporting


• Oversee technology integrations and vendor relationships


• Train team members on system usage and best practices

Client Lifecycle Management

• Oversee client onboarding processes from initial documentation through account setup


• Manage client offboarding procedures, ensuring proper documentation and transitions


• Coordinate with advisors and custodians to ensure smooth client experiences


• Maintain high standards for client service delivery


• Collaborate with advisors on client account administration

Compliance & Regulatory

• Ensure adherence to SEC and state regulatory requirements


• Maintain compliance calendar and coordinate required filings


• Assist with annual audits and regulatory examinations


• Keep policies and procedures current with regulatory changes


• Support business continuity and disaster recovery planning


• Coordinate with external vendors and service providers

Qualifications

Required:

• 5+ years of operations experience in wealth management, RIA, or financial services


• Series 65 or equivalent licensing


• Strong working knowledge of Salesforce CRM (or similar platforms)


• Solid understanding of RIA compliance requirements and regulatory environment


• Experience with client onboarding/offboarding processes


• Proven leadership and team management skills


• Exceptional attention to detail and organizational abilities


• Strong communication skills (written and verbal)


• Bachelor’s degree in business, Finance, or related field

What We Offer

• Competitive salary based on experience


• Health benefits package


• 401(k) with company match


• Paid time off and holidays


• Opportunity to make a significant impact in a growing firm