Senior Investment Operations Manager

CMC Recruiting; Leawood (KS); On-site; USD 85,000 - 90,000; Full time

Benefits offered by this job

Health, dental, and vision insurance

401(k) with employer match

Paid time off

Job summary

CMC Recruiting’s client, a boutique wealth management firm, seeks an Investment Operations Manager to lead execution, structure, and consistency of investment operations.

You will manage workflows, facilitate execution, and continuously improve how investment operations are delivered across the firm, partnering with advisors and team members for client service excellence.

Qualifications

• 5+ years in investment operations or related field.
• Series 7 and 66 licenses (or 63/65 equivalents).
• Strong understanding of trading, account management, and operations.
• Ability to manage multiple priorities with high accuracy.
• Clear, professional communication and ownership.

Responsibilities

• Own and manage day-to-day investment operations execution across the firm.
• Oversee onboarding, asset movement, trading, and maintenance.
• Create and refine processes to improve efficiency and scalability.
• Identify workflow gaps and implement solutions.
• Ensure activities align with compliance and firm standards.
• Collaborate with advisors to execute investment strategies and service needs.
• Oversee client onboarding for a smooth experience and prepare materials for meetings.
• Act as escalation point for complex operational issues.
• Ensure timely handling of client investment requests.

Skills

Investment operations

Trading knowledge

Account management

Ownership

Communication

Prioritization

Education

Series 7 & 66 licenses

Tools

NetX360

Envestnet

Morningstar Advisor Workstation

CRM systems

Microsoft Office

Google Workspace

Job description

Compensation: $85,000-90,000 + incentive compensation + full benefits

Overview:

Our client is a growing boutique wealth management firm focused on delivering comprehensive, relationship-driven financial planning. They are seeking an Investment Operations Manager to lead and enhance the execution, structure, and consistency of their investment operations.

This role is central to ensuring the investment side of the business runs efficiently, accurately, and at a high standard. It is best suited for someone who takes ownership, builds systems, and ensures both client experience and internal processes operate seamlessly.

You will work closely with advisors and team members to manage workflows, facilitate execution, and continuously improve how investment operations are delivered across the firm.

Key Responsibilities:

Investment Operations Leadership:

• Own and manage the day-to-day execution of investment operations across the firm
• Oversee account onboarding, asset movement, trading, and ongoing account maintenance
• Create, implement, and refine processes to improve efficiency, scalability, and consistency
• Identify workflow gaps and proactively implement solutions
• Ensure all investment-related activities align with firm standards and compliance requirements
• Partner closely with advisors to execute investment strategies and client service needs
• Oversee client onboarding to ensure a smooth, high-quality experience
• Prepare investment-related materials for client meetings
• Act as a point of escalation for complex operational or client service issues
• Ensure timely and accurate handling of client requests related to investments

Execution & Trading:

• Ensure all trades are accurate, timely, and aligned with client portfolios and firm strategy
• Monitor asset transfers and ensure completion
• Maintain high standards for reconciliation, documentation, and operational accuracy

Systems, Process & Data Management:

• Maintain and optimize systems such as NetX360, Envestnet, and other investment platforms
• Ensure accuracy of client data, account records, and documentation
• Develop and standardize workflows to support scalability
• Partner with leadership on reporting, dashboards, and operational metrics
• Collaborate across advisors, operations, and administrative teams
• Drive accountability around deadlines, deliverables, and workflows
• Support training and development of team members
• Contribute to the overall growth and direction of the firm

Qualifications:

Required:

• 5+ years of investment operations or related experience
• Series 7 and 66 (or 63/65 equivalent)
• Strong understanding of trading, account management, and investment operations
• Proven ability to manage multiple priorities with high accuracy
• Strong problem-solving and decision-making skills
• Clear and professional communication
• High level of ownership and ability to operate independently
• Strong attention to detail and commitment to quality

Preferred:

• APMA designation (or willingness to obtain)
• Experience with Envestnet, Morningstar Advisor Workstation, and CRM systems
• Experience improving or building operational processes
• Familiarity with Microsoft Office and Google Suite
• Competitive base salary + incentive compensation
• Health, dental, and vision insurance
• 401(k) with employer match
• Disability insurance
• Paid time off + loyalty program
• Maternity and paternity leave
• Paid industry conferences, licensing support, and continuing education