Director of Financial Advisors & Operations

Job description

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 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

#J-18808-Ljbffr

Worksite address

manasquan, NJ, 08736, US

Who can apply

Review the original listing for work authorization, qualifications and employer requirements.