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