Wealth Management Operations Lead

CD Financial LLC; San Juan Capistrano (CA); On-site; USD 115,000 - 137,000; Full time

Job summary

CD Financial in San Juan Capistrano, CA is seeking a hands-on Operations Manager to drive efficiency, accountability, and a positive team culture within a growing advisory firm. You will oversee daily office operations, back up trading, and coordinate with the Marketing Manager to strengthen client engagement.

You’ll lead KPI reporting, manage custodian activities (Schwab or similar), open accounts, handle ACATs, model portfolios, annuity processing, and maintain CRM and SOPs.

Qualifications

• 3+ years in operations at an RIA, wealth management, or financial planning firm.
• 2+ years of leadership and people management experience.
• Demonstrated ability to build and foster a positive, results-oriented culture that promotes accountability, engagement, professional growth, and collaboration.
• Working knowledge of account types, ACATs, rollovers, model portfolios, distributions, and RMD rules.
• Demonstrated experience with Schwab Advisor Center or a comparable custodian platform (Fidelity, Pershing, Altruist, etc.).
• Experience processing fixed or fixed index annuity applications, transfers, and withdrawals.
• Proven ability to set and manage KPIs and hold a team accountable with a steady, respectful style.
• Strong software skills: proven AI / Agentic AI experience (Claude, GPT, etc.), CRM (e.g., Wealthbox, Active Campaign), Microsoft 365, e-signature, and workflow tools.
• Excellent attention to detail, organization, and written and verbal communication.

Responsibilities

• Lead team KPIs, track turnaround times, NIGO rates, accounts opened, assets transferred, and applications submitted.
• Conduct weekly team meetings; coach, follow up, and enforce standards consistently and fairly.
• Build a cohesive, positive team culture where roles, handoffs, and expectations are clear.
• Understand the roles in an advisory firm and keep work flowing between them.
• Report operational status and issues to the principal.
• Open new accounts (individual, joint, trust, IRA, Roth, inherited IRA) and manage paperwork through completion.
• Track incoming money: ACATs, rollovers, transfers, and contributions, from initiation until funded.
• Deploy and maintain model portfolios; confirm accounts are invested and aligned after funding.
• Process distributions, RMDs, and standing instructions; monitor RMD deadlines across the book.
• Serve as backup for the trading and IRA application processor.
• Keep the CRM, workflows, and task lists accurate and up to date.
• Support the use of financial planning and tax planning software (data entry, report prep; no advice).
• Write and refine standard operating procedures and checklists.
• Help maintain books-and-records and compliance documentation.
• Support the Marketing Manager with social media scheduling, posting, and content coordination.
• Help with event logistics and client communications as needed.

Skills

Operations leadership

People management

KPI management

Attention to detail

Communication

Tools

Wealthbox CRM

ActiveCampaign

Microsoft 365

e-signature

Job description

CD Financial in San Juan Capistrano, CA is seeking a hands-on Operations Manager to drive efficiency, accountability, and a positive team culture within a growing advisory firm. You will oversee daily office operations, back up trading, and coordinate with the Marketing Manager to strengthen client engagement.

You’ll lead KPI reporting, manage custodian activities (Schwab or similar), open accounts, handle ACATs, model portfolios, annuity processing, and maintain CRM and SOPs.