Operations ManagerAssociate Advisor
Operations ManagerAssociate Advisor
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Angott Search Group is pleased to partner with anestablished and growing Introducing Broker Dealer is seeking a dynamic Operations Manager / Associate Advisor to support daytoday operations and deliver outstanding client service. This hybrid role offers a unique opportunity for a detailoriented professional to oversee operational functions while also engaging with clients and supporting advisory activities.
Operations Management
- Oversee daily brokerage operations including new account processing trade support reconciliations and compliance documentation
- Serve as the primary liaison with the clearing firm custodians and vendors
- Ensure timely and accurate of operational processes including client onboarding money movement and regulatory filings
- Maintain and enhance internal systems and workflows for efficiency and risk mitigation
Monitor regulatory updates and assist with compliance procedures and audits
Client Service & Advisory Support
- Support financial advisors in the development and delivery of investment strategies and financial plans
- Prepare performance reports proposals and client review materials
- Assist with client communication and followup on administrative needs
- Participate in client meetings and relationship management initiatives
- Contribute to the development of marketing communications and client education materials
Qualifications
- 3 years of experience in operations within a broker dealer RIA or financial services firm
- FINRA Series 7 and 63 (or 66 licenses preferred or ability to obtain within a designated timeframe
- Knowledge of brokerage platforms clearing processes and compliance requirements
- Strong attention to detail with excellent organizational and problemsolving skills
- Proficiency with Microsoft Office and CRM systems; experience with custodial or trading platforms a plus
- Desire to grow within the advisory space with a clientfirst mindset and professional demeanor
Required Experience:
Manager
Employment Type
Advisor
