Wealth Management Operations & Compliance Manager

Location: Beavercreek, Ohio Employment: Full-time

Compensation: Competitive base salary + benefits, based on experience

About Us: We are an established wealth management and financial planning firm serving individuals, families, business owners, and multiple generations of clients. We are growing intentionally and are building a deeper team so our advisors can spend more time doing the work that requires their expertise. We are looking for a Wealth Management Operations & Compliance Manager to become an important part of that next stage. This is not a traditional administrative role, and it is not a standalone Chief Compliance Officer position or OSJ replacement role. Our firm operates within the Osaic platform, with OSJ supervision handled. This role will own the day-to-day internal operations and compliance processes that keep the practice organized, accurate, and moving forward.

What You'll Do: Operations & Workflow Own and improve day-to-day operational workflows across the practice Coordinate account openings, transfers, maintenance, money movement, and other client service processes Monitor outstanding items and make sure work is completed accurately and on time Maintain and improve workflows within Redtail CRM and other firm systems Identify recurring operational problems and develop better processes Create and maintain procedures, checklists, and documentation Coordinate with Osaic and other outside partners when issues require escalation Compliance & Risk Management Coordinate the firm's day-to-day compliance processes and requirements Maintain compliance calendars, documentation, and required records Monitor completion of supervisory and compliance workflows Prepare materials and documentation for audits, reviews, and examinations Coordinate with the OSJ and Osaic on compliance and supervisory matters Assist with communications, advertising, account documentation, and other items requiring compliance review Stay current on applicable Osaic requirements Identify potential compliance issues and escalate appropriately Process Improvement Ask “why do we do it this way?” and look for opportunities to eliminate unnecessary work Standardize repeatable processes so they don't depend on individual employees remembering how things work Help automate or delegate routine work where appropriate Build systems that allow the firm to grow without adding unnecessary complexity Participate in projects involving technology, CRM, workflows, and operational improvements Team Support Serve as a resource to advisors and client-service staff on operational and compliance questions Coordinate with team members to make sure responsibilities are clearly assigned Help train staff on processes and procedures Work closely with leadership and the OSJ to keep the firm operating smoothly

What We're Looking For: We are looking for someone who is highly organized, proactive, detail-oriented, and comfortable taking ownership. The ideal candidate will have:3–7+ years of experience in wealth management, financial services, RIA, broker-dealer, or financial-advisory operations Experience with investment advisory or brokerage account administration Familiarity with compliance processes and financial-services regulations Strong attention to detail and follow-through Excellent written and verbal communication skills Ability to manage multiple priorities without losing track of details Strong Excel, Microsoft Office, and technology skills Comfort learning and improving CRM and workflow systems The judgment to know when something can be handled independently and when it needs to be escalated Strongly Preferred Experience with Osaic or another independent broker-dealer Experience with Redtail CRMSeries 7 and/or 66 Experience supporting an OSJ or advisory practice Experience with audits, regulatory examinations, or compliance testing The Person We're Looking For You don't have to be a lawyer or a career compliance officer. In fact, we're particularly interested in someone who understands how a wealth-management practice actually operates and enjoys making the machine work. You are the person who notices:“This process doesn't make sense.”and then figures out how to make it better. You are comfortable holding people accountable for completing what they owe the process, while also understanding that the goal of compliance is to protect the client and the firm - not create unnecessary bureaucracy. You take ownership. You follow things through. You enjoy organization and solving problems. And you want to build something rather than simply maintain a checklist. Why This Role Matters Our advisors should spend their time on the things that require an advisor's judgment: Financial planning. Client relationships. Business-owner planning. Tax and estate strategy. Complex financial decisions. Growing the firm. This role exists to make that possible. You will have the opportunity to help build the operational infrastructure of a growing wealth-management firm and have a direct impact on how the firm operates as it grows. If you're someone who likes making complicated things simpler and takes pride in being the person who makes sure things actually get done, we'd like to meet you.