OUR FIRM

We are an independent financial planning and wealth management firm proudly serving the Cincinnati Tri-State area. We manage approximately $270 million for a select group of high-net-worth individuals, former business owners, professionals, and multigenerational families. For more than 20 years, we’ve had the privilege of helping our clients achieve their goals. What truly motivates us is seeing them succeed. By developing deep, personal relationships and understanding what matters most to each individual, we guide them in defining their own version of success and build comprehensive financial plans to help them achieve it. We’re growing with intention, guided by a genuine commitment to the clients we serve. By bringing together a thoughtful, dedicated team, we’re building something truly special for our clients and each other.

JOB DESCRIPTION

The Client Service and Operations Manager is critical to our current and future success. There are many responsibilities across the entirety of the business that you will touch. You will oversee the firm’s operational infrastructure, technology stack, client reporting systems, and the overall client experience. You will improve advisor efficiency by managing day-to-day business operations, streamlining workflows, and ensuring the consistent delivery of exceptional service. We are continuously looking for better ways to excel for our clients and each other, so you will be thoughtful and creative in continuing that effort. You will strategize with the leadership team, implement the vision for the firm, and act as an integrator. You’ll take ownership of operational execution, helping shield the advisory team from operational activities so they can remain focused on providing excellent advice to clients and expanding client relationships.
We are a small team, so each role plays a meaningful part in our collective success, and we never hesitate to support each other. We value happiness, transparency, and honesty, and we look for professionals who share and embody those same principles. You are willing to pitch in wherever needed. You are able to inspire, you love to teach, and you are patient and calm when difficult situations arise. You can recognize when a decision needs to be made and help others to understand it, hold people accountable for their roles, push back, and provide better direction. You believe in the strength of a well-aligned team, you follow through, and bring structure that ensures nothing slips through the cracks. You get things done, and you do it with integrity and care. This is the kind of leader who will thrive with us.

QUALIFICATIONS

Skills & Competencies

• Excellent verbal and written communication skills, with the ability to communicate clearly and confidently with both clients and colleagues.
• High emotional intelligence and professionalism in client interactions.
• Strong organizational and time-management skills with the ability to manage competing priorities.
• Keen attention to detail and commitment to delivering accurate, high-quality work.
• Self-starter with the ability to identify issues, propose solutions, and drive improvements.
• Comfortable navigating interruptions and shifting between tasks in a fast-paced environment.

Technical Proficiency

• Proficient in Microsoft Office (Outlook, Excel, Word, PowerPoint).
• Experience with CRM systems, document management platforms, and financial planning or portfolio reporting software.
• Solid understanding of IT infrastructure, investment operations, portfolio accounting, and performance reporting.

Education & Experience

• Associate or bachelor’s degree in business administration or related field.
• Minimum 5 years’ experience with an independent registered investment advisor or broker-dealer.
• Minimum 3 years’ experience in operations/client service team lead or management role.

Job Type: Full-time
Pay: $90,000.00 - $110,000.00 per year

Benefits:

• 401(k)
• Health insurance
• Life insurance
• Paid time off

Work Location: In perso

Operational Oversight

• Manage and improve daily operational functions that support the advisory team and enhance the client experience.
• Maintain intimate knowledge of firm systems and workflows; identify and implement process improvements to enhance efficiency.
• Supervise and delegate responsibilities to team members while ensuring high-quality, timely execution.
• Coordinate internal staff meetings, track action items, and ensure follow-up completion.
• Act as liaison between advisory staff and support personnel to facilitate communication and workflow.
• Proactively monitor unresolved or incomplete tasks, ensuring visibility across the team.

Technology & Systems Management

• Oversee the firm’s technology stack, ensuring seamless integration and optimal utilization of all systems.
• Identify, evaluate, and implement new technology tools that improve operations and service delivery.
• Maintain documentation including standard operating procedures (SOPs), training materials, and workflow diagrams.
• Provide ongoing training, support, and coaching to team members on technology use and best practices.
• Manage vendor relationships and monitor third-party service performance.

Compliance & Risk Management

• Monitor internal compliance activities, ensuring adherence to regulatory requirements and custodian policies.
• Oversee maintenance of client files, disclosures, advisory reviews, and compliance logs.
• Stay current on compliance-related developments and adapt internal processes accordingly.
• Assist Chief Compliance Officer with RIA compliance process, compliance consultants, and SEC compliance activities and reporting.
• Ensure appropriate insurance licenses are maintained and renewed for advisors offering insurance products.

Client Support & Service Coordination

• Manage post-meeting follow-ups and ensure execution of client and advisor action items.
• Maintain strong working relationships with clients and serve as a key point of contact for operational support.
• Collaborate with the Advisor Team to address complex or sensitive client matters.

Reporting & Business Management

• Ensure accurate and timely delivery of internal management reports and dashboards.
• Establish, track, and report on key performance indicators (KPIs) to measure operational success.
• Maintain inventory of office supplies and coordinate large purchases with the principal advisor.