Director of Financial Advisors & Operations

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
  

• 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
  

• Competitive base salary commensurate with experience with bonus opportunities
  

• Benefits package available, details to be discussed during the process