Operation Manager (Richmond Valley Council)

Operations & Compliance Manager (Wealth Management) Richmond, VA (23219) We have an excellent career opportunity for an Operations Supervision Manager to join a leading wealth management firm based in Richmond, VA. If you’re interested in learning more, you can schedule time with me here: mari/30min This role is ideal for someone who brings a strong blend of operations, compliance, and leadership experience within a broker‑dealer or investment advisory setting. Overview The Operations Supervision Manager will oversee day‑to‑day branch operations, ensuring all administrative, operational, and supervisory functions align with firm policies and industry regulations. This individual will act as a key liaison between Compliance, Supervision, Operations, and branch teams, while also supporting training and process improvement initiatives. Key Responsibilities
- Oversee branch operations to ensure compliance with regulatory and internal policies
- Review and approve account activity including new accounts, maintenance requests, and asset movements
- Conduct trade reviews for suitability and compliance across multiple platforms
- Monitor client profiles and account activity across custodial, CRM, and planning systems
- Review and approve client correspondence and maintain proper documentation
- Research and resolve operational issues impacting client accounts
- Support onboarding and training of advisors and client service associates
- Partner with internal teams to implement new policies and ensure adoption across branches Qualifications
- 5+ years of experience in wealth management, operations, or compliance
- Experience in branch supervision, trade review, or regulatory oversight
- Series 7 and 66 required; 9/10 or 24 strongly preferred (or willingness to obtain)
- Life, Health & Annuities license preferred
- Strong knowledge of broker‑dealer and investment advisory regulations (FINRA, SEC, etc.)
- Experience with custodial platforms, CRM systems, and compliance tools
- Ability to manage multiple priorities in a fast‑paced environment with strong attention to detail
- Strong communication skills and ability to partner effectively with advisors and internal teams This is a great opportunity for someone looking to step into or grow within a supervisory role, with a strong mix of operations, compliance, and leadership responsibilities. If this sounds like a fit, feel free to reach out or schedule time to connect: mari/30min #J-18808-Ljbffr Apply on Kit Job: kitjobau.com/job/3r2yz2