RIA Client Service/Operations Manager

Aston Carter • Bellevue, WA

1d • $75,000 - $85,000 • Onsite

About The Position

A growing wealth management firm is seeking an RIA Client Service and Operations Manager to support client service, operations, and administrative functions in a Bellevue, Washington office of approximately five team members. This full-time, permanent, onsite role works Monday through Friday from 8:00 a.m. to 4:30 p.m. It combines client service, operations, and leadership responsibilities and supports a registered investment advisory practice managing more than $1.2 billion in assets and serving 200 to 500 clients. The firm is open to candidates from broker-dealers, private banking, and other financial services environments, including professionals with Series 7, 63, 65, or 66 licenses.

The manager supports advisors and clients through trade review, market research, cash management, financial reporting, tax preparation assistance, financial planning, client meetings, onboarding, and ongoing account maintenance. The role also serves as the primary contact for a select group of clients and provides leadership to the client service and operations team through mentoring, delegation, workflow management, and process improvement. Team members work closely with advisors, leadership, and clients and have exposure to multiple aspects of the business, including client service, operations, financial planning support, and business administration.

The position requires a bachelor’s degree and 2 to 5+ years of relevant experience. Compensation is $75,000 to $85,000 per year. The employer states that it provides a 6% 401(k) match and 100% paid employee benefits; coverage for additional family members requires payment.

Requirements

• 2 to 5+ years of experience in operations, client service, wealth management, financial services, or another professional environment with significant operational responsibilities.
• Bachelor’s degree required.
• Strong organizational skills and ability to manage multiple priorities in a fast-paced environment.
• Ability to prepare client-facing reports and support meeting preparation and follow-up.
• Experience supporting senior professionals, executives, advisors, or leadership teams.
• Strong communication and relationship-building skills.
• Ability to present ideas and information clearly and professionally.
• Excellent attention to detail and commitment to accuracy.
• Experience maintaining information across CRM platforms and business systems.
• Leadership capabilities, including mentoring, delegation, workflow management, and operational oversight.
• Proficiency with Microsoft Office Suite, including Word, Excel, and Outlook.
• Ability to work effectively in a small team environment.
• Demonstrated ability to improve processes, manage projects, and support business operations.
• Comfort presenting market research, financial concepts, and planning strategies to advisors and clients.

Nice To Haves

• Experience in a registered investment advisory (RIA), wealth management, broker-dealer, private banking, or similar environment.
• Series 7, 63, 65, or 66 licenses.
• Experience using Schwab Advisor Center for custodial and account operations.
• Familiarity with iRebal for portfolio rebalancing and trade management.
• Experience with Orion and Albridge for portfolio reporting and performance measurement.
• Proficiency with eMoney for financial planning and analysis.
• Experience using Salesforce or a similar CRM platform to manage client information and workflows.
• Knowledge of Drake Tax Software for tax preparation and review.
• Experience with QuickBooks for basic accounting and financial recordkeeping.
• MBA or other advanced degree.
• Experience working closely with senior leadership or executive teams.

Responsibilities

• Support client service and account operations for a large registered investment advisory practice managing over $1.2 billion in assets and serving 200 to 500 clients.
• Review an average of 15 solicited and discretionary trades per day, including block trades, for accuracy, compliance, and timely settlement.
• Create proprietary daily market research reports and present findings to Wealth Advisors to support investment and planning decisions.
• Perform client-book cash management activities in compliance with anti-money laundering regulations and firm policies.
• Prepare accurate client-facing financial reports and help advisors prepare for client review meetings.
• Assist with the preparation and review of federal tax returns for high-net-worth clients using appropriate tax software and tools.
• Serve as the primary contact and Wealth Management Associate for a select group of clients.
• Anticipate client needs, address concerns proactively, and resolve issues efficiently.
• Participate in client meetings and present ideas and concepts clearly, effectively, and in an organized manner.
• Prepare meeting materials, summaries, and documentation, and manage post-meeting action items and follow-up.
• Gather, organize, and maintain client information and ensure data integrity in the CRM system.
• Help develop and implement financial plans using financial planning tools and analysis to support client decisions.
• Oversee new-client onboarding, including account opening, documentation, and initial setup, and manage ongoing account maintenance.
• Provide team leadership by mentoring colleagues, delegating tasks, and managing workflow.
• Contribute to improving operational processes and procedures to enhance efficiency, accuracy, and client satisfaction.

Benefits

• 401(k) match of 6%.
• Employee benefits are 100% paid; additional family members require payment.

What This Job Offers

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