Carson Wealth Management Group (CWMG) is headquartered in Omaha. This position is for our Bay Area office located in San Rafael, California.

Our experienced, dedicated wealth management team is responsible for nearly $6 billion in assets under advisement for select families, business owners, professional athletes and institutions. We offer our clients services including Portfolio Management, Wealth Planning, Risk Management, Estate Planning and Tax Planning.

Become a member of a fast-growing, well-respected team in the financial planning industry that has been #1 with our broker/dealer for the last 23 years. Join a team recognized by Barron’s as an industry leader since 2004 and that was among the inaugural inductees into Barron’s Hall of Fame (1 of 2 independent firms).

We are looking for a seasoned, experienced individual that brings with them knowledge of the advisory/RIA world. Our ideal candidate is a take charge, professional, and energetic individual who excels in operations.The role of the Operations Manager is to ensure all client accounts are set up accurately and are properly maintained.This role will provide on-going service and support to clients by providing service that exceeds expectations in a timely and accurate manner.Qualified applicants must be able to manage multiple projects.Individual will be responsible for all project objectives and maintaining quality control.Coordination of projects, training, and on-going development of improved office procedures is also required.

Responsibilities

• Manage operations in the day-to-day functions of trading, client paperwork, cashiering, insurance licensing and compliance.
• Administer all operations functions within the organization. Ensure that all policies and procedures are aligned with corporate goals and initiatives and comply with regulatory guidelines.
• Evaluate work flow procedures and implement changes to improve efficiencies.Ensure that all policies and procedures are being followed.
• Analyze and review internal and industry changes and recommend changes that may impact business needs.
• Research any trade or cash discrepancies and resolve issues.

• Point Person to answer most questions, facilitate research, execute transactions and determine what paperwork is required.
• Resolve reporting and performance discrepancies.Confirm billing is correct for all fees.
• Provide project management on various ongoing projects.Update and maintain policies and procedures for support role functions.
• Responsible for all cashiering functions.Process accurately all incoming and outgoing wires, ach and checks.Monitor and track all RMD’s and ensure accuracy.

• Handle compliance issues as they arise and oversee and maintain compliance related files/documents.Serve as primary point of contact and coordinate all regulatory communications regarding examinations and inquiries.

• Maintain, monitor and track regulatory requirements of all licensed personnel.Ensure all licenses are kept current.
• Perform other duties as assigned.

Administrative/Technical Skills

• Analytical and research skills
• Attention to details
• Ability to compile statistics and reports
• Planning and organizational skills
• Project and time management skills
• Ability to manage multiple projects with precision
• Excellent written and verbal communication skills required

• Occasional travel

Field of Experience

• 5 or more years of experience in financial services/wealth management required
• Knowledge of financial advisory office tools (i.e. Orion and Salesforce ) preferred
• Knowledge of Microsoft Office, including Word, PowerPoint, Excel, and Outlook
• Series 7 and 63 required

Benefits

In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, and a great working environment. The position is based in our very professional Marin county location. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, motivated and focused on healthy living.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.