Wealth Management

Lupton Partners•Dallas, TX

7d•$100,000 - $125,000•Onsite

About The Position

This role serves as the central operational backbone for the firm's broker-dealer and advisory engine. Leading a dedicated operations desk, you will oversee day-to-day transaction approvals, asset movements, and clearinghouse integrations while driving scalable process improvements across internal platforms. Your mandate is to partner closely with advisory practices, eliminate administrative friction, and maintain a pristine supervisory and compliance baseline.

Requirements

5+ years of direct broker-dealer or dual-hatted BD/RIA operational supervisory experience.
Active Series 7, Series 24, and Series 66 (or Series 63/65 combo).
Demonstrated background navigating institutional clearing platforms (First Clearing, RBC, SEI) and CRM systems (Salesforce).
Proven ability to balance regulatory compliance and risk mitigation with a solution-first approach to complex advisor scenarios.

Responsibilities

Lead and mentor the day-to-day operations team, managing direct reports, workflow dashboards, and timely execution across all new accounts and account maintenance requests.
Execute daily operational approvals for banking, signature guarantees, and high-volume asset movements while maintaining strict alignment with state, federal, and FINRA regulatory frameworks.
Manage core operational workflows and partner interfaces across multi-clearing channels, including First Clearing, RBC Clearing & Custody, SEI, and internal Salesforce ecosystems.
Champion service excellence through the Service Associate Council, maintain the internal operations knowledge base, and develop clear advisor-facing operational updates.