Savvy Wealth

Head of Wealth Management Operations

Savvy Wealth

full-time

Posted on:

Location Type: Hybrid

Location: New York City • New York • United States

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 $200,000 - $230,000 per year

Job Level

Lead

About the role

  • Own and evolve the operating model for our wealth management platform across both RIA and broker-dealer entities, including service, supervision support, onboarding, maintenance, trading, and money movement.
  • Foster a culture of innovation, white-glove support, and continuous improvement.
  • Collaborate closely with Engineering, Product, and Advisory teams to drive innovation through all parts of RIA & B-D Operations.
  • Map, redesign, and standardize core workflows including:
  • - KYC/AML, suitability, Reg BI and advisory documentation
  • - trading, rebalancing, cash management, and billing feeds
  • - client service requests and lifecycle maintenance
  • - advisor transitions and rep onboarding
  • - client onboarding / ACATs / account opening
  • Remove friction between channels so advisors and clients experience “one firm,” not two regulatory models.
  • Establish and manage the day-to-day operations of Savvy’s Broker-Dealer, including account opening, transaction processing, supervision, and trade surveillance.
  • Partner closely with Savvy’s Engineering, Product, and Design teams to identify and implement appropriate platform improvements to support the growth of Savvy’s BD entity.
  • Work closely with the CCO and FINOP to ensure adherence to FINRA rules and broker-dealer regulatory obligations.
  • Maintain and update required supervisory procedures (WSPs) and coordinate with Compliance and Legal on regulatory filings and exams.
  • Ensure seamless integration and reconciliation between clearing firm systems, CRM, portfolio management tools, and compliance systems.
  • Implement supervisory tools and technology for broker-dealer oversight, including email and trade surveillance systems.
  • Oversee client billing processes and ensure accurate, transparent fee structures.
  • Own performance reporting, regulatory and compliance reporting.
  • Maintain relationships with custodians and third-party tech providers; ensure proper data reconciliation.
  • Translate operational needs into product/engineering roadmaps and drive delivery.
  • Lead adoption and optimization of our tech stack.
  • Identify automation opportunities and reduce manual work through tooling, integrations, and AI-assisted workflows.
  • Define and monitor operational KPIs and SLAs (cycle times, error rates, NIGO rates, service quality, advisor satisfaction, and cost-to-serve).
  • Implement strong operational controls and vendor oversight across custodians, clearing firms, and third-party providers.

Requirements

  • 8–12+ years of progressive operations leadership in wealth management, including direct experience in a hybrid RIA + broker-dealer environment (or running operations for both entities).
  • Deep familiarity with the practical differences between FINRA BD operations and SEC/state RIA operations, and how to integrate them into a cohesive client/advisor experience.
  • Proven record of scaling teams and processes in a high-growth setting.
  • Strong process design chops: you’ve personally rebuilt workflows and reduced cycle time/error rates.
  • Tech-forward operator who has led system implementations and automation projects; fluent working with Product and Engineering teams.
  • Excellent people leadership and cross-functional communication.
  • Hands-on experience with:
  • - Client billing and performance reporting
  • - Custodian administration and integrations (e.g., Schwab, Fidelity, Pershing)
  • - Compliance reporting and regulatory audits
  • Strong command of operational risk management, process optimization, and systems implementation.
  • Extensive experience using third party tools to power wealth management operations, including leveraging AI tools (e.g., ChatGPT/Claude, analytics copilots, automation) to speed up research, synthesis, and operational workflows.
  • Ability to thrive in a fast-paced, high-pressure, and often ambiguous environment.
  • Active Series 7 and 66, Series 65, CFA or CFP.
Benefits
  • Competitive salary and equity package
  • Unlimited PTO + paid company holidays
  • Access to holistic medical, dental, and vision plans
  • Company 401(k), Commuter, and HSA/FSA plans
  • NYC office in the heart of Manhattan
  • Lunch and snacks provided in the office
  • Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care
  • Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
operations leadershipprocess designworkflow optimizationclient billingperformance reportingcompliance reportingregulatory auditsoperational risk managementsystems implementationautomation
Soft skills
people leadershipcross-functional communicationinnovationcontinuous improvementcollaborationproblem-solvingadaptabilitystrategic thinkingrelationship managementteam scaling
Certifications
Series 7Series 66Series 65CFACFP