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Philadelphia, United States NexWealth Full time

Operations Manager will plan, organize, and control the daily operations of two separately-registered RIA firms. One firm is a multi-family office and the other firm oversees a mutual fund. Candidates must have previous experience at a financial services firm in a business operations position.


ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Plan, organize, and control the daily operations of two separately-registered RIA firms. One firm is a multi-family office and the other firm oversees a mutual fund.

• Manage team members; establish clear expectations, emphasizing accountability, conduct regular performance evaluations, and provide quality and timely feedback

• Ensure team is responding to client needs regarding service, trading, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards

• Oversee new account setup, money movement, portfolio accounting, trading and performance reporting

• Review account transactions daily to monitor trade requests placed, confirm deposits posted, transfers received, confirm client withdraw requests sent, etc.

• Maintain and oversee CRM database

• Manage firm’s vendors

• Other responsibilities as assigned by the CEO

• Serves as project manager on large firm projects

• Participates in business planning meetings

• Work with Chief Compliance Office to ensure adherence to all regulatory compliance and risk-related requirements.

• Contribute to the culture and values of the organization by introducing and maintaining initiatives and policies that support the firm’s vision.

• This position reports to the CEO of both companies

  

KNOWLEDGE, SKILLS, AND/OR ABILITIES:

• Management of individuals and teams

• Customer Service

• Vendor Management

• Advanced computer skills (Outlook, Word, Excel and PowerPoint) are essential

• Excellent communication skills, both verbally and in writing

• Strong time management and organizational skills

• Ability to work independently and effectively manage multiple tasks at once

• Ability to build relationships with clients and internal partners

• Experience with financial planning/reporting software preferred

 

EDUCATION AND/OR EXPERIENCE:

• Bachelor’s degree in a business-related field preferred

• Previous COO experience in the financial services industry is required.

• 7+ years overseeing operations within the financial services industry allowing for a good understanding of broker/dealer operations and financial services products

• Familiarity with industry regulations and regulatory exams

• Previous experience in the independent financial services culture preferred

• Management experience

• Candidate must be able to pass a background check


The firms are committed to a diverse and inclusive workplace. Each firm is an equal opportunity employer and does not discriminate on the basis of race, national origin, ethnicity, gender, gender identity, sexual orientation, veteran status, disability, age, or any other category protected by applicable federal, state or local law.