Operations Manager, Wealth Management

A path for every ambition.

At HUB, we believe the best work happens when people are given real space to grow and then given the autonomy to exercise it. We power progress and protect ambition: for the clients who count on us, and equally for the people who make that possible every day.

We’re creative thinkers and determined doers, guided by values that show up in how we work together: with empathy, adaptability, accountability and a genuine commitment to one another’s success. We foster bold ideas, celebrate curiosity and share what we know. Because when people grow, the work they do grows with them.

Our purpose is deeply human: to help people navigate the world on their terms, at their speed, toward their future. We hold that same commitment to the people building careers here.

Whether you’re starting out or leveling up, you’ll find the resources to evolve, the support to take on more and a team ready to back you at every stage.

Your ambition has a home here.

IGNITE YOUR PASSION * IMPACT WHAT MATTERS

WHO WE ARE.

Breaking Boundaries for 25 years - and counting.

The world is rapidly changing, and HUB is here to advise businesses and individuals on how to prepare for the unexpected. With more than 600 HUB offices across North America, our focus is dedicated to providing our customers with the peace of mind that what matters most will be protected through unrelenting advocacy and tailored insurance solutions. Our growing team of professionals across North America represents a broad, deep, and one-of-a kind aggregation of entrepreneurs and leaders recognized for their excellence throughout the insurance community.

WE LOVE OUR PEOPLE & OUR PEOPLE LOVE US.

We have the competitive, exciting, and friendly work environment you are seeking. We strategically position our employees for longevity and success by investing in their future and providing continuous opportunities for growth and development . Join us in taking the first step toward creating a future that combines a diverse, challenging work environment with financial security and career satisfaction. We welcome ALL candidates and are proud of our wonderfully diverse employee population.

WE’LL TAKE CARE OF YOU.

We care about our people, and we mean it. We reward our talented professionals with a competitive salary, bonus potential, and a variety of benefits to help you reach your health, retirement, and professional goals. Our suite of benefits includes PPOs, HMO, HSA, FSA, vision coverage, dental coverage, pet insurance, paid time off, a generous 401k plan and more!

POSITION SUMMARY:

The Operations Manager, Wealth Management develops and implements operational policies and procedures for the Wealth Management division’s client service team and oversees the timely completion of projects and client deliverables. This role manages and mentors the team responsible for account maintenance, client onboarding, and CRM management, helps the team operate within the RIA’s compliance program, and maintains a foundational understanding of the investment management process to collaborate effectively with the Wealth Management team.

Key Responsibilities:

Formulate strategic and operational objectives for the Wealth Management client service team.

Implement and review operational policies and procedures.

Coordinate the development of user manuals, training materials, and other documents as needed to enable successful implementation of new operational policies and procedures.

Perform quality control reviews of team deliverables and ensure they meet firm quality standards before submission.

Coordinate with firm partners and team members to keep projects on track against requirements, deadlines, and schedules.

Establish effective project and team communication plans and ensure their execution.

Meet with team members to identify and resolve issues and serve as a liaison between the team and the management team.

Prepare status reports by gathering, analyzing, and summarizing relevant information, and assist with post-project evaluations to identify what worked and what did not.

Support new business activities and account implementation, as assigned.

Assist firm partners in recruiting, training, and supervising client service staff.

Identify and implement ways to improve service quality, operational efficiency, and the client and advisor experience.

Client Service Team Oversight

Maintain a working knowledge of high-touch client service standards and the department's technology platforms (e.g., Schwab Advisor Center, Fidelity Wealthscape, Orion Advisor, CRM) in order to effectively train and support the client service team.

Ensure proactive communication practices are followed so that client correspondence and inquiries receive timely responses.

Guide the team in assisting clients regarding account status, money movement, account services, and new technology.

Oversee account document completion and client onboarding processes.

Ensure client notes, data, and documents are accurately maintained within the firm's CRM system and digital files, in accordance with firm recordkeeping requirements.

Support the creation and production of materials needed for client meetings.

Provide cross-training to team members and assist with other operational functions as required.

Understand the end-to-end client service lifecycle in order to support holistic planning and implementation.

Compliance Support

Operate within the RIA's compliance program by ensuring that client service workflows, onboarding, and account maintenance follow its policies and procedures.

Coordinate with the RIA's compliance team on questions and policy updates, and promptly escalate compliance concerns, errors, and policy exceptions.

Support compliance reviews and audits by gathering documentation and responding to requests and track remediation items through completion.

Investment Operations & Trading Support

Coordinate across client onboarding, account maintenance, and custodian interactions to ensure seamless execution of client requests and back-office functions, using working knowledge of custodial platforms (e.g., Schwab, Fidelity) and internal CRM systems to troubleshoot or escalate service issues.

Maintain a working knowledge of trade execution and account rebalancing processes in order to support the investment operations function.

Other ad hoc duties, as assigned.

Operations Manager Requirements

Bachelor's degree or qualified experience.

Prior experience in wealth management, financial services, or a related client service environment preferred.

Compliance background or working knowledge of investment adviser compliance requirements preferred, with the ability to follow and apply established compliance policies and procedures.

Investment adviser representative (IAR) registration or qualification preferred, ideally through the Series 65; or the Series 7 and Series 66 together.

Knowledge of organizational effectiveness, operations management, and business and financial principles.

Familiarity with wealth management technology platforms (e.g., Schwab Advisor Center, Fidelity Wealthscape, Orion Advisor, Redtail, Microsoft Dynamix) preferred.

Foundational understanding of the investment management process, including trading, rebalancing, and custodial platforms.

Leadership ability, with experience mentoring, training, and supervising staff, and the ability to build consensus and relationships among managers, partners, and employees.

Excellent communication skills, both verbal and written.

Outstanding organizational skills with extraordinary attention to detail.

Possesses strong ethics and sound judgment, with the ability and dedication to maintain high confidentiality of personally identifiable client and firm information and to escalate compliance concerns appropriately.

* The expected annual salary for this position is $80,000 to $100