Practice Manager, Wealth Management

RFG Advisory; Madison (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 in Huntsville, AL is seeking an Operations Manager to lead the operational engine of the branch, overseeing trading, compliance, client service and office leadership. You will support the Lead Advisor as a right hand, manage calendars, meetings, client inquiries, and ensure smooth workflows.

The role requires 3–5+ years in wealth management operations, experience with Schwab, Salesforce, and Orion, and a strong service ethic. Bachelor's degree preferred; Series 65 required.

Qualifications

• 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
• Bachelor's degree strongly preferred; Series 65 required; Series 7 a plus.

Responsibilities

• 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.
• 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.
• 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.
• 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.

Skills

Client service excellence

Written and verbal communication

Initiative and proactive support

Independent judgment

Calm under pressure

Education

Bachelor's degree strongly preferred

Series 65 required

Series 7 a plus

Bachelor's degree preferred

Tools

Salesforce CRM

Orion

Schwab platforms

Job description

Investor'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 AdvisorWhat You'll DoAdvisor & Client Meeting SupportPrepare 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 OversightServe 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 & TradingOversee 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 SupportMaintain 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:Experience3–5+ years of experience in wealth management operations or a similar client-facing, licensed support roleFamiliarity and experience with SchwabExperience with Salesforce CRM preferredExperience with OrionPrior experience in a lead or senior support role preferredSkills & CompetenciesCalm, composed, and dependable in a fast-moving environmentAnticipates needs before they surface and translates direction into organized, trackable actionHigh service ethic with genuine investment in client outcomesStrong written and verbal communication skillsTakes initiative without being asked; looks for ways to support teammates proactivelySound independent judgment with a strong work ethic and commitment to doing things right the first timeTechnology & ToolsProficient in Microsoft Excel, Word, Outlook, PowerPoint, and Adobe PDFSalesforce CRM experience preferredFamiliarity with Schwab platforms and reporting toolsProficiency with AI tools such as Claude, ChatGPT, or Microsoft Copilot to improve productivity, communication, and workflow efficiencyEducation & LicensesBachelor's degree strongly preferred; high school diploma requiredSeries 65 required; Series 7 a plusCompensation:$90,000-100,000Company:RFG 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-$100,000Health Insurance3% 401k contributionLong Term and Short Term DisabilityLife InsuranceDental and Vision