Operations Supervisor managing production and leading the manufacturing team at Southwire Company. Ensuring safety and operational excellence in the production process.
About the role
- Head of Wealth Management Operations at Savvy, modernizing wealth management through technology. Lead operations across RIA and broker-dealer, enhancing advisor and client experiences.
Responsibilities
- 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)
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