Operations Manager

Aston Carter•Franklin, TN

4d•$31 - $38•Hybrid

About The Position

The Operations Manager plays a central role in supporting and improving internal workflows across team operations, technology, compliance, client service, and financial management. This role partners closely with the COO and CEO to ensure the firm runs smoothly day to day, with a strong emphasis on attention to detail, problem-solving, and process improvement. The position offers a hybrid schedule with some flexibility in hours (no less than 32 hours per week) and the ability to complete a portion of responsibilities remotely, while still maintaining meaningful in-office collaboration and engagement.

Requirements

Bachelor’s degree in any field and/or 2–3 years of experience in operations or back-office roles, preferably within financial services.
Experience in the banking or finance industry, with exposure to operational or financial processes.
Client service experience, with the ability to build rapport and maintain professional relationships.
Familiarity with financial operations systems, with QuickBooks strongly preferred.
Exceptional attention to detail and strong follow-through in completing tasks and projects.
Proven ability to manage and prioritize multiple workflows, solve problems independently, and meet deadlines consistently.
Proficiency in computer and software skills, with experience in Google Workspace preferred.
Excellent written and verbal communication skills, including the ability to draft clear procedures and documentation.
Strong collaboration skills and the ability to work effectively with leadership and cross-functional teams.
Demonstrated financial aptitude, including the ability to analyze financial data and draw meaningful conclusions.

Nice To Haves

Familiarity with Registered Investment Advisor (RIA) operations and related industry practices.
Understanding of regulatory bodies such as the SEC and FINRA and their impact on firm operations and compliance.
Exposure to financial services vendors and platforms used by RIAs.
Experience with office administration and general business operations.
Strong communication and interpersonal skills, with the ability to engage effectively with both internal team members and clients.
Interest in long-term career growth, with potential to progress into a Director of Operations role as the firm continues to grow.
Comfort working in a process-driven environment and contributing ideas for continuous improvement of workflows and systems.

Responsibilities

Update and maintain the firm’s standard operating procedures, ensuring all team members consistently follow established processes.
Oversee and administer daily office operations to support smooth and efficient business functioning.
Lead the administrative logistics for new hires and departing employees to ensure seamless onboarding and offboarding experiences.
Assist in planning, organizing, and facilitating internal meeting agendas, and track follow-up items to completion.
Conduct quality control by auditing CRM data and monitoring team workflow performance to maintain data integrity and service standards.
Identify potential gaps in firm procedures and proactively recommend enhancements and solutions to the COO.
Manage QuickBooks, including transaction matching and categorization, and reconcile accounts receivable and payable.
Coordinate monthly payroll processing and monitor team timesheets for accuracy and timeliness.
Prepare 1099s and W-2s and organize documentation to support year-end tax planning and CPA reviews.
Review monthly and quarterly profit and loss statements and balance sheets in QuickBooks to identify errors and ensure reporting accuracy.
Assist with completing annual renewals and coverage-related documentation for the firm.
Support compliance and legal operations by preparing and submitting regulatory filings, including quarterly 13F filings and the annual firm ADV.
Draft annual ADV amendments and Form CRS updates for COO/CCO review and final approval.
Manage U4 and U5 filings and coordinate state-level registrations for the firm and its advisors.
Assist in implementing new compliance policies and procedures and help ensure adherence across the team.
Lead and assist with the implementation of new technology projects in collaboration with the firm’s IT consultant.
Serve as the first point of contact for team technology issues and coordinate with external IT vendors to resolve them.
Maintain and update the firm’s IT asset list, including hardware tracking and related records.
Help ensure that security protocols and best practices are followed by all team members.
Build and maintain strong relationships with clients through meetings, events, and other professional interactions.
Schedule client meetings and coordinate related logistics to support advisors and team members.
Complete new client setup, including account opening and related operational tasks.
Create and maintain client files, tasks, and notes in the appropriate systems to support ongoing service.
Manage ongoing maintenance of client accounts, ensuring timely completion of changes, updates, and service requests.
Execute client appreciation activities, such as sending birthday cards and new client gifts, to enhance the client experience.