Position Details

Type Not Specified

Experience lead

Exp. Years 3 years minimum (Wealth Management Operations Team Lead role) or proven experience; 5+ years Brokerage Operations experience

Education Not specified

Category Operations & Logistics

About this role

The Wealth Ops Manager leads the day-to-day Wealth Management Operations function and supervises a team of Service and Support Specialists. The role focuses on managing operational risk, handling escalations, and ensuring quality control and regulatory requirements are met while meeting service levels and supporting customers and advisors.

Key Responsibilities

Manage transaction and exception processing risk for investment products
Serve as subject matter expert for Wealth Management Operations and escalations
Perform quality control audits on paperwork and transactions for service standards and regulatory supervision
Coordinate daily workflows and adjust staffing to meet service levels
Coach and develop team members and embed continuous improvement

Technical Overview

The job is centered on Wealth Management Operations controls including transaction and exception processing risk, quality control audits on paperwork/transactions, brokerage system troubleshooting, and participation in system testing. The manager also drives continuous improvement through procedures, training plans, and automated or standardized workflows using MS Office/PC proficiency.

Ideal Candidate

The ideal candidate has 5+ years of Brokerage Operations experience and at least 3 years leading Wealth Management Operations teams. They are a FINRA-licensed professional (Series 24, 63, 66, and Series 7) who can oversee transaction/exception processing risk, perform quality control audits, and coach specialists to meet service levels. They communicate resolutions clearly to end clients and internal partners while driving continuous improvement in daily workflows.

Must-Have Skills

Wealth Management Operations Team LeadBrokerage OperationsFINRA Series 24FINRA Series 63FINRA Series 66FINRA Series 7prioritize multiple projects and tasks dependent on risk and client experienceWealth Management Operations processesknowledge of brokerage system and troubleshooting thereofPC skills and MS Officeexcellent communication skills (verbal & written)

Nice-to-Have Skills

Demonstrated successful stable work historyBachelors degree

Tools & Platforms

MS OfficePC skills

Required Skills

Wealth Management OperationsBrokerage Operationstransaction processingexception processingquality control auditsrisk and regulatory supervisionFINRA Series 24FINRA Series 63FINRA Series 66FINRA Series 7brokerage systemtroubleshootingcontinuous improvementsystem testingcoaching and development programMS Office

Hard Skills

Wealth Management OperationsWealth Management Operations processesWealth Management Operations Team Leadbrokerage systemtroubleshooting brokerage systemtransaction processingexception processinginvestment products processing risk managementquality control auditspaperwork auditstransaction auditsrisk and regulatory supervisionFINRA Series 24FINRA Series 63FINRA Series 66FINRA Series 7subject matter expert guidance on escalated itemsproduction of coaching and development programcontinuous improvementprocedures and training planssystem testingdaily workflows monitoringstaffing adjustmentsPC skillsMS Office

Soft Skills

direct daily supervisioncoachingdevelopmentcollaboration with the wider teamstrong collaborationexcellent judgementtimely issue resolutioncommunication to end clients and internal clientscustomer servicecollaboration with sales leadershipstakeholder communicationteam leadershipworking effectively with sales leadership and sales managers daily

Certifications

Required

FINRA Series 24FINRA Series 63FINRA Series 66FINRA Series 7

Industry & Role

Industry Banking

Job Function Lead Wealth Management Operations—overseeing risk, quality control, daily workflows, and team performance for private wealth service delivery

Role Subtype Operations Manager

Keywords for Your Resume

Private Wealth Operations ManagerWealth Ops ManagerWealth Management OperationsWealth Management Operations Team LeadBrokerage Operationstransaction processingexception processinginvestment productsquality control auditsrisk and regulatory supervisionFINRA Series 24FINRA Series 63FINRA Series 66FINRA Series 7brokerage systemtroubleshootingMS Officecontinuous improvementsystem testingcustomer servicecoaching and development programdaily workflowsM-F: 8:30 AM ET - 5:00 PM ET

Deal Breakers

FINRA Series 24, FINRA Series 63, FINRA Series 66, and FINRA Series 7 required (or ability to obtain within 90-days), 5+ years Brokerage Operations experience, Minimum 3 years Wealth Management Operations Team Lead role experience (or proven experience in wealth management service and support)

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