Manager, RIA Operations

Apex Fintech Solutions • Dallas, TX

6d • 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 manager will recruit, develop, and retain a high-performing team while defining scalable service models, workflows, controls, and performance standards. The role supports Apex’s expansion into B2B RIA services, including RIA and sub-advisory solutions for additional clients. In partnership with Compliance, Product, and other stakeholders, the manager will develop a digitally enabled, compliant operating model focused on strong client outcomes and sustainable growth.

The role covers team leadership and development, RIA operations and process design, regulatory compliance and risk management, and product partnership and digital enablement. The position requires a bachelor’s degree or equivalent relevant experience, Series 7 and Series 66 or Series 65, at least five years of progressive financial services experience, and at least two years of direct people-management experience.

Apex offers a hybrid work schedule for most roles, allowing employees to work from home and from one of its primary offices.

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 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.
• Demonstrated experience partnering with Compliance, Legal, Product, Technology, and Risk teams to implement compliant operational processes.
• 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 ability and a track record of building engaged, high-performing, and accountable teams.
• Strong judgment and problem-solving skills, including identifying risks, prioritizing competing demands, and managing escalations effectively.
• Excellent written, verbal, and cross-functional communication skills, including the ability to translate 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 is preferred.
• Experience supporting Registered Investment Adviser, broker-dealer, custody, clearing, wealth management, or fintech operations is strongly preferred.

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 escalations.
• Develop service-level agreements, key performance indicators, quality controls, and reporting to measure team performance and client experience.
• Identify operational risks, bottlenecks, and process-simplification opportunities.
• Partner with Compliance, Legal, Risk, and other control functions to align processes with applicable RIA, securities, and client-service regulatory requirements.
• Implement controls, documentation standards, supervisory procedures, and monitoring practices that support regulatory readiness.
• Promptly escalate operational, client, and compliance concerns and collaborate on resolutions.
• 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 Calm app subscription.
• External learning benefits.
• Tuition reimbursement.
• Hybrid work schedule for most roles, with flexibility to work from home and a primary office.

What This Job Offers

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