RIA Operations Leader | Hybrid & Growth Focus

PEAK6; Texas; Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

Healthcare benefits

401k match

Parental leave

HSA contribution match

Paid Calm app subscription

Generous external learning and tuition

Hybrid work schedule

Tuition reimbursement

Job summary

Apex Fintech Solutions in the United States is seeking a Manager, RIA Operations & Client Service to lead the new team delivering service for Apex’s in-house RIA business. You will recruit and develop talent, define scalable workflows, and partner with Compliance, Product, and Risk to ensure regulatory readiness.

This role blends operations leadership with product enablement to deliver exceptional client outcomes.

Qualifications

• Bachelor’s degree in Business, Finance, Operations, or related field or equivalent experience.
• FINRA licenses or investment adviser credentials preferred or required.
• Series 7 and Series 66 or Series 65 required.
• 5+ years of financial services operations and client service experience.
• 2+ years of direct people-management experience.
• Experience building or scaling operational teams in growth environments.
• Experience partnering with Compliance, Legal, Product, Technology and Risk.

Responsibilities

• Build and lead a customer service and operations team for Apex’s in-house RIA business.
• Develop hiring plans, interview and onboard qualified talent.
• Define scalable service models, workflows, and performance standards.
• Design, document, and improve onboarding, servicing, issue resolution, and escalation processes.
• Partner with Compliance, Legal, Risk and other controls to ensure regulatory readiness.
• Collaborate with Product, Technology to design digital client and internal service experiences.

Skills

Client service

Operations management

Leadership

Regulatory compliance

Process design

Cross-functional collaboration

Communication skills

Education

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

FINRA Series 7 & 66 or Series 65 required

Job description

Apex Fintech Solutions in the United States is seeking a Manager, RIA Operations & Client Service to lead the new team delivering service for Apex’s in-house RIA business. You will recruit and develop talent, define scalable workflows, and partner with Compliance, Product, and Risk to ensure regulatory readiness.

This role blends operations leadership with product enablement to deliver exceptional client outcomes.