Supervisory Branch Office Operations Manager

Boutique Recruiting; Pasadena (CA); On-site; USD 115,000 - 125,000; Full time

Benefits offered by this job

Medical/Dental/Vision

Retirement plan (401k/ESOP)

Vacation & holidays

Tuition reimbursement

Insurance discounts

Job summary

Boutique Recruiting seeks an experienced Supervisory Branch Office Operations Manager to oversee five wealth management offices and lead Client Service Associates. The role requires strong leadership, regulatory compliance knowledge, and cross-location coordination to keep operations efficient and compliant with firm policies.

The ideal candidate will manage client service activities, support branch managers, and drive a proactive, organized, and results-oriented approach across Southern

Qualifications

• 5+ years in financial services within broker-dealer, RIA, or similar wealth management.
• 3+ years of supervisory or people management across multiple locations.
• Active Series 7, Series 66 or Series 63/65 and SIE licenses required; Series 9/10 a plus.
• Strong wealth management operations and compliance knowledge.
• Proficient with Word, Excel and Outlook; able to navigate financial platforms.
• Excellent communication, leadership, and organizational skills; proactive and team-oriented.
• Bachelor’s degree preferred with demonstrated career stability.

Responsibilities

• Oversee day-to-day operational activities across five wealth management offices.
• Lead, support, and develop Client Service Associates across locations.
• Ensure operations comply with firm policies and securities regulations.
• Support client service activities including account openings, transfers, and maintenance.
• Assist with financial planning workflows and post-meeting items.
• Monitor reports and portfolios; identify accounts needing attention or rebalancing.
• Travel between Southern California branches to provide hands-on leadership.

Skills

Leadership

People management

Financial services knowledge

Series 7/66/63/65 and SIE licenses

Compliance

Communication

Microsoft Office proficiency

Education

Bachelor's degree preferred

Tools

Microsoft Office

Job description

Position Title: Supervisory Branch Office Operations Manager

Salary: $115,000–$125,000 / Year, DOE + Annual Bonus

This is a high-impact leadership opportunity for an experienced financial services professional who knows how to keep complex branch operations running smoothly while building a strong, accountable team. The Supervisory Branch Office Operations Manager will oversee operations across five wealth management offices, lead Client Service Associates, support Branch Managers and advisors, and ensure each location operates efficiently and in compliance with firm policies and securities industry regulations. The right candidate is a proactive, highly organized leader who understands the operational side of wealth management, communicates exceptionally well, and knows how to lead by example across multiple offices

Responsibilities

• Oversee day-to-day operational activities across five wealth management offices representing approximately $4–$5 billion in total assets under management
• Lead, support, and develop Client Service Associates across multiple branch locations while creating consistency, accountability, and strong service standards
• Partner closely with Branch Managers and financial advisors to ensure operations remain compliant with company policies, procedures and securities industry regulations
• Support client service activities including account openings, transfers, distributions, trade execution, portfolio rebalancing and ongoing account maintenance
• Assist with financial planning workflows including meeting preparation, plan data entry, client summaries and post-meeting action items
• Monitor reports, account notifications and portfolio activity while using technology to identify accounts requiring attention or rebalancing
• Travel between assigned Southern California branch locations to provide visible, hands-on leadership and operational support

Requirements

• 5+ years of financial services experience within a broker-dealer, RIA, or similar wealth management environment
• 3+ years of supervisory or people management experience with the ability to lead teams across multiple locations
• Active Series 7, Series 66 or Series 63/65 and SIE licenses required, with Series 9 and/or 10 strongly desired
• Strong understanding of wealth management operations, client service processes and securities industry compliance requirements
• Strong technology skills with proficiency in Microsoft Word, Excel and Outlook and the ability to quickly navigate financial services platforms
• Excellent communication, leadership and organizational skills with a proactive, independent and team-oriented approach
• Bachelor’s degree preferred with demonstrated career stability and longevity within financial services

Benefits

• Medical, dental, and vision insurance
• Company 401(k) and ESOP contributions including discretionary profit-sharing contributions based on company performance
• Generous vacation and sick time plus a comprehensive paid holiday schedule
• Professional development opportunities and tuition reimbursement with a $15,000 lifetime maximum
• Discounted personal insurance options including home, auto and recreational vehicle coverage