Operations Manager, Wealth Management

RFG Advisory•Madison, AL

21h•Onsite

About The Position

Investor's Resource runs on trust, precision, and momentum, and the Operations Manager is the person who makes all three possible. This role owns the operational engine of the Huntsville branch, from trading and compliance to client service and office leadership, while serving as the right hand to the Lead Advisor. If you find order energizing, people rewarding, and take quiet pride in being the reason everything runs without friction, this role was built for you.

Requirements

3–5+ years of experience in wealth management operations or a similar client-facing, licensed support role
Familiarity and experience with Schwab
Experience with Salesforce CRM preferred
Experience with Orion
Prior experience in a lead or senior support role preferred
Calm, composed, and dependable in a fast-moving environment
Anticipates needs before they surface and translates direction into organized, trackable action
High service ethic with genuine investment in client outcomes
Strong written and verbal communication skills
Takes initiative without being asked; looks for ways to support teammates proactively
Sound independent judgment with a strong work ethic and commitment to doing things right the first time
Proficient in Microsoft Excel, Word, Outlook, PowerPoint, and Adobe PDF
Salesforce CRM experience preferred
Familiarity with Schwab platforms and reporting tools
Proficiency with AI tools such as Claude, ChatGPT, or Microsoft Copilot to improve productivity, communication, and workflow efficiency
Bachelor's degree strongly preferred; high school diploma required
Series 65 required; Series 7 a plus

Nice To Haves

Salesforce CRM experience preferred
Prior experience in a lead or senior support role preferred
Proficiency with AI tools such as Claude, ChatGPT, or Microsoft Copilot to improve productivity, communication, and workflow efficiency
Bachelor's degree strongly preferred
Series 7 a plus

Responsibilities

Prepare meeting notes, agendas, pre-meeting research, and follow-up materials ahead of client meetings.
Manage the Lead Advisor's calendar, priorities, and follow-up items with structure and attention to detail.
Translate direction into organized, trackable action and own the follow-through after meetings end.
Interact with prospective and existing clients for inquiries, requests, and service; execute client and Advisor-requested trades.
Serve as the primary point of contact for incoming calls, voicemail, email, and office traffic.
Maintain client records and tasks in Salesforce, server, and paper files to the highest standard of accuracy.
Oversee resolution of client service requests with care, precision, and consistent follow-through.
Provide informal guidance to the Client Service Representative on workflows, standards, and client service best practices.
Oversee branch-wide reports and ensure timely action across the team.
Manage quarterly rebalancing of I.R. Models and bulk trades; oversee check deposits, mailing, supply orders, and petty cash.
Prepare quarterly billing for discretionary client accounts, financial planning invoices, BAA billing, and trade sheets.
Coordinate client gifts, birthday cards, Advisor outreach, and key event logistics; confirm Advisor state registrations.
Maintain the branch ad file and serve as the point of contact for the annual compliance audit.
Print and organize Investment Committee materials including model holdings, watch lists, SMAs, and custom investments.
Oversee custom account benchmarking and ensure all compliance documentation is accurate and audit-ready year-round.