Overview
This role is responsible for leading and overseeing all brokerage and advisory operations functions across the firm. This role reports directly to the President & CEO during an initial phase of operational transition and infrastructure buildout.
This individual will lead the Brokerage and Advisory Operations teams while also playing a key role in stabilizing, scaling, and modernizing the firm’s operational framework. The position requires a hands-on leader who can drive day-to-day execution, build structure and accountability, and implement process improvements that support advisor growth and firm-wide efficiency.
Location & Work Structure
This position is based in Boca Raton, Florida. The role will begin remotely and transition to regular in-office collaboration once the office is operational. Candidates must be located in or willing to relocate to the Boca Raton area.
Roles and Responsibilities
Leadership & Team Management
- Lead, develop, and manage the Brokerage and Advisory Operations teams, including hiring, training, coaching, and performance management
- Conduct quarterly and annual performance reviews and establish clear accountability standards
- Build a scalable team structure aligned with firm growth and operational demands
- Foster a high-performance, service-oriented culture across the operations function
Brokerage & Advisory Operations Oversight
- Oversee day-to-day brokerage and advisory operations, including trading, cashiering, account maintenance, and asset movement across all custodians
- Supervise trade execution, allocation, and review across equities, fixed income, mutual funds, alternatives, and advisory platforms
- Review trade blotters, exception reports, and activity reports across Pershing, Schwab, RBC, and external RIAs
- Monitor margin activity and ensure timely communication and resolution with representatives
- Oversee alternative investment processing, ensuring accuracy and timeliness at each stage
- Ensure proper handling of trade errors, rejects, and documentation for audit and regulatory purposes
Advisor & Branch Support
- Serve as a key escalation point for advisors and internal teams on trading, account, and operational issues
- Support onboarding of new advisors, including training on custodial platforms and operational workflows
- Assist advisors in navigating Pershing NetX360, Schwab Advisor Center, RBC Nexus, Envestnet, and related systems
- Partner with advisors to resolve complex operational issues, including transfers, margin, and account servicing
Process Improvement & Strategy
- Identify and implement process improvements to increase efficiency, reduce risk, and enhance advisor experience
- Evaluate current workflows and systems to streamline operations and reduce manual processes
- Partner with senior leadership to align operations with broader firm strategy, including growth and advisor recruiting initiatives
- Reduce operational inefficiencies, including minimizing house account volume and improving processing timelines
Risk Management & Compliance Support
- Ensure adherence to SEC, FINRA, and state regulatory requirements across all operational functions
- Review and monitor exception reports for best execution, trading activity, and compliance risks
- Partner with Compliance and Supervision teams to support audits, branch exams, and regulatory inquiries
- Maintain accurate records and documentation to support internal and external audits
Reporting & Collaboration
- Provide regular reporting on trading activity, volumes, and operational metrics to senior leadership
- Collaborate closely with the COO, CCO, Finance and Technology teams
- Support firm initiatives related to technology, platform enhancements, and operational infrastructure
Abilities and Experience Required
- Extensive experience in brokerage and advisory operations within a broker-dealer and/or RIA environment
- Strong working knowledge of Pershing, Schwab, and RBC platforms
- Experience with Envestnet and advisory billing platforms preferred
- Deep understanding of brokerage operations including trading, cashiering, account onboarding, and transfers
- Strong knowledge of SEC, FINRA, and state regulatory requirements
- Proven leadership experience managing and developing high-performing teams
- Ability to prioritize and execute in a fast-paced, high-volume environment
- Strong problem-solving skills with a focus on process improvement and efficiency
- Ability to communicate effectively with advisors, vendors, and internal stakeholders
- High level of accountability, ownership, and attention to detail
Minimum Licensing and Requirements
- FINRA Series 7, 24, and 66 (required)
Compensation & Benefits
- Competitive base salary plus performance-based incentives
- 401(k) with company match
- Health, dental, and vision insurance
- Flexible spending and health savings accounts
- Paid time off and employee assistance programs
Pay: $100,000.00 - $130,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
License/Certification:
- FINRA Series 24 (Required)
- FINRA Series 66 (Required)
- FINRA Series 7 (Required)
Work Location: In person