Head of Wealth Management Operations Job at Savvy Wealth (NYC)

Job Description

Savvy is looking for a Head of Wealth Management Operations to design, lead, and scale the operating backbone of a fast-growing, technology-enabled wealth management business. This leader will own all core operations across our RIA and introducing broker-dealer, ensuring that our supervision, service, and back-office workflows are compliant, efficient, and power delightful advisor and client experiences.

Job Responsibility

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
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
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

Nice to have

Series licenses (24/9/10) or prior registration as a principal
Operations leadership at a technology-enabled or digitally native wealth/fintech firm
Experience with multi-custodian and/or clearing firm environments
Familiarity with common Wealth Operations Tech stack
Prior responsibility for exam/audit operational readiness across both BD and RIA entities

What we offer

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)

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