$90,000–$120,000 Per Year
Advertising, Annuities, Brokerage, Communication Skills, Customer Relationship Management (CRM) Systems, Customer Support/Service, Customer Training, Customer/Client Research, Establish Priorities, Financial Planning, Financial Policies, Insurance, Investment Management, Maintain Compliance, Maintenance Services, Microsoft Excel, Microsoft Office, Microsoft Outlook, Microsoft PowerPoint, Microsoft Word, Multiplatform/Cross-Platform, Operations Management, Operations Processes, Operations Research, Problem Solving Skills, Process Management, Product/Service Launch, Record Keeping, Registered Investment Advisor (RIA), Regulatory Compliance, Regulatory Requirements, Reimbursement, Securities and Exchange Commission (SEC), Series 7, Wealth Management
LHH Recruitment Solutions is searching for an Investment Operations Manager, for a permanent position, working in an office, in Richmond, Virginia.
We're looking for someone to ensure adherence to firm and regulatory requirements, and serve as a key liaison between various departments.
Duties include:
- Onboard and train new Client Service Associates and Financial Advisors on policies/procedures
- Review/approve service requests (account openings/maintenance, asset movement)
- Supervise trade activity for compliance and suitability across custodian platforms and direct-held products (alts, insurance, annuities, 529s)
- Monitor client profiles and account activity across custodian, planning, CRM, and compliance systems
- Research and resolve operational issues tied to client accounts and activity
- Review/approve incoming and outgoing correspondence; maintain correspondence records
- Ensure required documents are executed properly and retained
- Oversee Branch administrative/operational processes and roll out new compliance requirements/training
Ideal candidate will have
- 5+ years in wealth management in operations, and/or compliance capacity
- Strong knowledge of broker-dealer vs. RIA regulatory requirements; working knowledge of FINRA/SEC/FinCEN/DOL expectations
- Experience with Branch supervision (transactions, account maintenance, correspondence, advertising)
- Comfort navigating multiple systems (custodian platforms, financial planning tools, CRM, compliance systems)
- Strong communication, organization, and process-management skills; ability to prioritize across multiple requests
- Licenses: Series 7 and 66 required plus Series 9/10 or 24 (or equivalents) preferred; Life/Health/Annuities license strongly preferred; willingness to obtain additional licenses as needed
- Proficiency with Microsoft Office (PowerPoint, Excel, Word, Outlook)
Permanent Salary Range: $90K to $120K plus bonus potential
Benefits include medical, dental, vision, PTO, 401K, continuing education reimbursement, HSA, life insurance and more.
If interested in this permanent Investment Operations role please apply below.
Pay Details: $90,000.00 to $120,000.00 per year
Search managed by: Jane Schenberg
Equal Opportunity Employer/Veterans/Disabled
Military connected talent encouraged to apply
To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to https://www.lhh.com/us/en/candidate-privacy
The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:
- The California Fair Chance Act
- Los Angeles City Fair Chance Ordinance
- Los Angeles County Fair Chance Ordinance for Employers
- San Francisco Fair Chance Ordinance
Massachusetts Candidates Only: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.