About the Firm
We are representing a leading financial services firm transforming how America's middle class experiences financial security. The firm provides personalized financial planning, tax, and estate solutions under one roof, with a mission to simplify financial security and remove uncertainty for their clients. Their integrated model is built around converting tax relationships into comprehensive wealth management, and they are on an intentional path to scale significantly over the next several years.
About the Role
Our client is seeking a Director of Financial Advisors & Operations to own the full operational infrastructure of their RIA and serve as the right hand to senior firm leadership. This is a builder role. The firm currently manages roughly $700M in AUM with a clear goal of reaching $3B and beyond, and they need someone who has lived through that kind of growth and knows what it takes to get there operationally.
This is not a pure back-office role. Half the job is building scalable systems, workflows, and controls. The other half is coaching advisors, supporting sales pipeline, and ensuring the Servicing FA team has everything they need to perform. The right person has been in the trenches as an advisor or alongside them, understands the integrated tax-to-wealth model, and is ready to step into an executive-level operations leadership role.
Key Responsibilities
Operations & Infrastructure
Own all RIA back-office operations including new account opening, ACATs, money movement, beneficiary updates, billing, reconciliation, and performance reporting
Build and maintain scalable SOPs and operational controls that support firm growth and integration efforts
Custodial Management
Serve as the primary liaison with Charles Schwab, overseeing Schwab Advisor Center workflows, resolving escalated custodial issues, and staying current on platform and regulatory updates
Trading & Portfolio Operations
Manage daily trade execution, model rebalancing, block trades, and cash monitoring including contributions, withdrawals, and RMDs
Ensure all trading activity aligns with firm and Schwab compliance requirements
Advisor Support & Sales Pipeline
Act as the operational escalation point for Servicing Financial Advisors
Partner with the CRO on sales pipeline oversight
Troubleshoot complex member issues and train advisors on systems, workflows, and Schwab processes
Compliance & Risk
Working alongside the CCO, ensure operational alignment with SEC and state requirements
Support audits, exams, and documentation retention
Strengthen controls across money movement, trading, cybersecurity, and data integrity
Technology & Systems
Oversee the full advisory tech stack including CRM, portfolio accounting, billing, trading platforms, and member portals
Manage vendor integrations across platforms such as Schwab, Orion, Black Diamond, Envestnet, and Salesforce
Drive automation and workflow efficiency improvements
Team Leadership
Lead, mentor, and develop the operations team
Manage workload allocation, cross-training, and staffing to support consistent execution and business growth
Requirements
7+ years of RIA or wealth management operations experience, including direct involvement in launching, building, or scaling an RIA
Hands-on experience with Charles Schwab Advisor Center and custodial operations
Track record designing and scaling operational systems and workflows in a growing organization
Experience managing advisor teams or operational staff
Strong grasp of trading workflows, advisory billing, portfolio operations, and reconciliation
Background as a financial advisor or in close partnership with advisors strongly preferred
Familiarity with tax-integrated wealth management models a significant plus
Series 65/66 or CFP preferred; Bachelor's degree required
Must be able to work in-office in Wall Township, NJ in a hybrid capacity
Benefits
Competitive base salary commensurate with experience with bonus opportunities
Benefits package available, details to be discussed during the process
