Operations Manager, Wealth Management

RFG Advisory, LLC; Huntsville (AL); On-site; USD 90,000 - 100,000; Full time

Benefits offered by this job

Health Insurance

3% 401k contribution

Long Term and Short Term Disability

Life Insurance

Dental and Vision

Job summary

RFG Advisory, LLC in Huntsville, AL seeks an Operations Manager to own the operational engine of the wealth management office, including trading, compliance, client service, and office leadership. You will support the Lead Advisor and ensure smooth operations in a fast-paced environment.

Ideal candidates bring 3–5+ years in wealth-management operations, familiarity with Schwab and Orion, Salesforce CRM, and a bachelor’s degree plus Series 65 (Series 7 a plus). This is an in-office role.

Qualifications

• 3–5+ years of wealth management operations or similar client-facing, licensed support role.
• Familiarity with Schwab platforms and reporting tools.
• Experience with Salesforce CRM preferred.
• Experience with Orion.
• Lead or senior support experience preferred.
• Bachelor's degree strongly preferred; high school diploma acceptable with experience.
• Series 65 required; Series 7 a plus.

Responsibilities

• Advisor & client meeting support including notes, agendas, and follow-up materials.
• Manage Lead Advisor's calendar and follow-up with structured tasks.
• Coordinate client inquiries, requests, and trades.
• Client service oversight and accurate records in Salesforce.
• Oversee branch reports, quarterly rebalancing, billing, and trade sheets.
• Support compliance audits and Investment Committee materials.

Skills

Wealth management operations

Salesforce CRM

Orion

Schwab platforms

Database & reporting

Strong written and verbal comms

Proactive initiative

Education

Bachelor's degree

Series 65

Series 7 (a plus)

Tools

Microsoft Excel

Microsoft Word

Outlook

PowerPoint

Adobe PDF

Salesforce CRM

Job description

## Operations Manager, Wealth ManagementInvestor's Resource · Full-time · Management#### About The PositionInvestor's Resource runs on trust, precision, and momentum, and the Operations Manager is the person who makes all three possible. This role owns the operational engine of the Huntsville branch, from trading and compliance to client service and office leadership, while serving as the right hand to the Lead Advisor. If you find order energizing, people rewarding, and take quiet pride in being the reason everything runs without friction, this role was built for you.* **Location:** Huntsville, AL (In-office)* **Reports to:** Lead Advisor**What You'll Do***Advisor & Client Meeting Support** Prepare meeting notes, agendas, pre-meeting research, and follow-up materials ahead of client meetings.* Manage the Lead Advisor's calendar, priorities, and follow-up items with structure and attention to detail.* Translate direction into organized, trackable action and own the follow-through after meetings end.* Interact with prospective and existing clients for inquiries, requests, and service; execute client and Advisor-requested trades.*Client Service Oversight** Serve as the primary point of contact for incoming calls, voicemail, email, and office traffic.* Maintain client records and tasks in Salesforce, server, and paper files to the highest standard of accuracy.* Oversee resolution of client service requests with care, precision, and consistent follow-through.* Provide informal guidance to the Client Service Representative on workflows, standards, and client service best practices.*Branch Operations & Trading** Oversee branch-wide reports and ensure timely action across the team.* Manage quarterly rebalancing of I.R. Models and bulk trades; oversee check deposits, mailing, supply orders, and petty cash.* Prepare quarterly billing for discretionary client accounts, financial planning invoices, BAA billing, and trade sheets.* Coordinate client gifts, birthday cards, Advisor outreach, and key event logistics; confirm Advisor state registrations.*Compliance & Investment Committee Support** Maintain the branch ad file and serve as the point of contact for the annual compliance audit.* Print and organize Investment Committee materials including model holdings, watch lists, SMAs, and custom investments.* Oversee custom account benchmarking and ensure all compliance documentation is accurate and audit-ready year-round.#### Requirements**Experience*** 3–5+ years of experience in wealth management operations or a similar client-facing, licensed support role* Familiarity and experience with Schwab* Experience with Salesforce CRM preferred* Experience with Orion* Prior experience in a lead or senior support role preferred**Skills & Competencies*** Calm, composed, and dependable in a fast-moving environment* Anticipates needs before they surface and translates direction into organized, trackable action* High service ethic with genuine investment in client outcomes* Strong written and verbal communication skills* Takes initiative without being asked; looks for ways to support teammates proactively* Sound independent judgment with a strong work ethic and commitment to doing things right the first time**Technology & Tools*** Proficient in Microsoft Excel, Word, Outlook, PowerPoint, and Adobe PDF* Salesforce CRM experience preferred* Familiarity with Schwab platforms and reporting tools* Proficiency with AI tools such as Claude, ChatGPT, or Microsoft Copilot to improve productivity, communication, and workflow efficiency**Education*** Bachelor's degree strongly preferred; high school diploma required* Series 65 required; Series 7 a plus#### CompanyRFG Advisory is a platform for growth-minded Independent Advisors who want to scale without compromise. We're building the RIA of the Future-powered by innovation, collaboration, and execution. We take care of each other first. We show up with servant hearts and growth mindsets. We lead boldly, iterate to excellence, and commit to getting 1% better every day. If you're energized by precision, structure, and being the person who makes it all happen-we'd love to meet you.www.RFGadvisory.com/awardsThis hiring process may include the use of automated tools to assist with resume review. All hiring decisions are ultimately made by qualified human reviewers. For more information about our hiring practices, data use, and accommodation request procedures, please review our Privacy Policy. We are an Equal Opportunity Employer and do not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, genetic information, or any other status protected by applicable law. We will provide reasonable accommodations for qualified individuals with disabilities during the application and hiring process.#### Benefits and Compensation**Salary: $90,000-$100,000*** Health Insurance* 3% 401k contribution* Long Term and Short Term Disability* Life Insurance* Dental and Vision