Manager, RIA Operations

APEX Fintech Services • Dallas, TX

5d • Hybrid

About The Position

The Manager, RIA Operations & Client Service will establish and lead a newly formed team responsible for customer service and operational support for Apex’s in-house Registered Investment Adviser (RIA) business. The role includes recruiting, developing, and retaining a high-performing team while defining scalable service models, workflows, controls, and performance standards.

The position supports Apex’s expansion into B2B RIA services, including RIA and sub-advisory solutions for additional clients. Working closely with Compliance, Product, and other business stakeholders, the Manager will help create a digitally enabled, compliant, and seamless operating model that supports strong client outcomes and sustainable growth.

Requirements

• Bachelor’s degree in Business, Finance, Operations, Management, or a related field, or equivalent relevant experience in lieu of a degree.
• Series 7 and Series 66 or Series 65 licenses are required.
• Five or more years of progressive experience in financial services operations, client service, wealth management, broker-dealer operations, investment advisory services, or a related environment.
• Two or more years of direct people-management experience, including hiring, coaching, performance management, and team development.
• Experience building, scaling, or transforming operational teams, processes, and service models in a fast-paced or growth-stage environment.
• Strong knowledge of client service and operational practices in regulated financial services environments.
• Ability to design scalable workflows, operating procedures, service standards, controls, and performance metrics.
• Demonstrated leadership and a track record of building engaged, high-performing, accountable teams.
• Strong judgment and problem-solving skills, including identifying risks, prioritizing competing demands, and managing escalations.
• Excellent written, verbal, and cross-functional communication skills, including translating operational needs into actionable product and technology requirements.

Nice To Haves

• FINRA securities licenses and/or investment adviser-related credentials are preferred, subject to business and regulatory obligations.
• Additional coursework or certification in financial services operations, project management, compliance, or process improvement.
• Experience supporting Registered Investment Adviser, broker-dealer, custody, clearing, wealth management, or fintech operations.
• Experience partnering with Compliance, Legal, Product, Technology, and Risk teams to implement compliant operational processes.

Responsibilities

• Build and lead a customer service and operations team supporting the launch and growth of Apex’s in-house RIA business.
• Develop hiring plans, interview and select talent, and establish onboarding and training programs.
• Set expectations, performance objectives, service standards, and development plans for direct reports.
• Foster a collaborative, accountable, and client-focused team culture.
• Define, document, implement, and continuously improve operational processes and workflows for RIA and sub-advisory services.
• Establish scalable procedures for client onboarding, account servicing, issue resolution, operational requests, and escalation management.
• Develop service-level agreements, key performance indicators, quality controls, and reporting to measure team performance and client experience.
• Identify operational risks, bottlenecks, and opportunities to simplify processes.
• Partner with Compliance, Legal, Risk, and other control functions to align operations with applicable RIA, securities, and client-service regulatory requirements.
• Implement controls, documentation standards, supervisory procedures, and monitoring practices that support regulatory readiness.
• Escalate operational, client, and compliance concerns and work with stakeholders to resolve them.
• Support internal audits, regulatory examinations, compliance reviews, and remediation activities.
• Collaborate with Product, Technology, and Operations stakeholders to design efficient, digital client and internal service experiences.
• Translate operational requirements, client feedback, and regulatory needs into product enhancements, automation opportunities, and workflow improvements.
• Participate in testing, implementation, and change-management activities for new systems, tools, and capabilities.
• Promote technology and automation that improve accuracy, turnaround time, scalability, and customer experience.

Benefits

• Healthcare benefits, including medical, dental, vision, and EAP.
• Competitive PTO.
• 401(k) match.
• Parental leave.
• HSA contribution match.
• Paid subscription to the Calm app.
• External learning benefits.
• Tuition reimbursement.
• Hybrid work schedule for most roles, with flexibility to work from home and from a primary office.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager