Manager, Brokerage & Advisory

Manager, Brokerage & Advisory Job DescriptionThe Manager, Brokerage & Advisory is responsible for leading and overseeing all brokerage and advisory operations functions across the firm. This role reports directly to the President & CEO during an initial phase of operational transition and infrastructure buildout, with an expected transition to the Chief Operating Officer.This individual will lead the Brokerage and Advisory Operations teams while also playing a key role in stabilizing, scaling, and modernizing the firm’s operational framework. The position requires a hands-on leader who can drive day-to-day execution, build structure and accountability, and implement process improvements that support advisor growth and firm-wide efficiency.Location & Work StructureThis position is based in Boca Raton, Florida. Candidates must be located in or willing to relocate to the Boca Raton area.Roles and ResponsibilitiesLeadership & Team ManagementLead, develop, and manage the Brokerage and Advisory Operations teams, including hiring, training, coaching, and performance managementConduct quarterly and annual performance reviews and establish clear accountability standardsBuild a scalable team structure aligned with firm growth and operational demandsFoster a high-performance, service-oriented culture across the operations functionBrokerage & Advisory Operations OversightOversee day-to-day brokerage and advisory operations, including trading, cashiering, account maintenance, and asset movement across all custodiansSupervise trade execution, allocation, and review across equities, fixed income, mutual funds, alternatives, and advisory platformsReview trade blotters, exception reports, and activity reports across Pershing, Schwab, RBC, and external RIAsMonitor margin activity and ensure timely communication and resolution with representativesOversee alternative investment processing, ensuring accuracy and timeliness at each stageEnsure proper handling of trade errors, rejects, and documentation for audit and regulatory purposesAdvisor & Branch SupportServe as a key escalation point for advisors and internal teams on trading, account, and operational issuesSupport onboarding of new advisors, including training on custodial platforms and operational workflowsAssist advisors in navigating Pershing NetX360, Schwab Advisor Center, RBC Nexus, Envestnet, and related systemsPartner with advisors to resolve complex operational issues, including transfers, margin, and account servicingProcess Improvement & StrategyIdentify and implement process improvements to increase efficiency, reduce risk, and enhance advisor experienceEvaluate current workflows and systems to streamline operations and reduce manual processesPartner with senior leadership to align operations with broader firm strategy, including growth and advisor recruiting initiativesReduce operational inefficiencies, including minimizing house account volume and improving processing timelinesRisk Management & Compliance SupportEnsure adherence to SEC, FINRA, and state regulatory requirements across all operational functionsReview and monitor exception reports for best execution, trading activity, and compliance risksPartner with Compliance and Supervision teams to support audits, branch exams, and regulatory inquiriesMaintain accurate records and documentation to support internal and external auditsReporting & CollaborationProvide regular reporting on trading activity, volumes, and operational metrics to senior leadershipCollaborate closely with the COO, CCO, Finance and Technology teamsSupport firm initiatives related to technology, platform enhancements, and operational infrastructureAbilities and Experience RequiredExtensive experience in brokerage and advisory operations within a broker-dealer and/or RIA environmentStrong working knowledge of Pershing, Schwab, and RBC platformsExperience with Envestnet and advisory billing platforms preferredDeep understanding of brokerage operations including trading, cashiering, account onboarding, and transfersStrong knowledge of SEC, FINRA, and state regulatory requirementsProven leadership experience managing and developing high-performing teamsAbility to prioritize and execute in a fast-paced, high-volume environmentStrong problem-solving skills with a focus on process improvement and efficiencyAbility to communicate effectively with advisors, vendors, and internal stakeholdersHigh level of accountability, ownership, and attention to detail Minimum Licensing and RequirementsFINRA Series 7, 24, and 66 (required)Compensation & BenefitsCompetitive base salary plus performance-based incentives401(k) with company matchHealth, dental, and vision insuranceFlexible spending and health savings accountsPaid time off and employee assistance programs