Top 1245 Mutual Fund Firm Jobs

Brokerage & Advisory Manager
Concorde Investment Services —Boca Raton, FL
- $100,000 - $130,000 a year
- Full-time
- Office
- Team management
- Recruiting
- Health savings account
- Health insurance
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Internal Wholesaler
Counterpoint Funds —Fort Lauderdale, FL
- $60,000 - $120,000 a year
- Full-time
- Mid-level
- Office
- Finance
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Operations Transition Associate
Geneos Wealth Management —Meridian, CO
- $48,000 - $58,000 a year
- Full-time
- Hybrid work
- Microsoft Word
- Background check
- Mid-level
- Paid holidays
- Health insurance
Quick Apply
Securities Trading Associate
Centaurus Financial Inc. —Anaheim, CA
- $50,000 - $125,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health insurance
- Dental insurance
Quick Apply
Corporate Counsel
Ace Hardware Corporation —Oak Brook, IL
- $137,700 - $160,000 a year
- Full-time
- 5 years
- Travel
- Senior level
- Paid holidays
- Disability insurance
Financial Advisor
Minnesota National Bank —Sauk Centre, MN
- $48,000 - $68,000 a year
- Full-time
- Microsoft Outlook
- Word processing
- Mid-level
- Paid training
- Health savings account
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Registered Client Service Associate
Wilcox Financial / Wilcox Sports Management —Detroit, MI
- Full-time
- Background check
- Writing skills
- Office
- Health insurance
- Dental insurance
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3d
Senior Manager, Mutual Fund Tax
KPMG —Boston, MA
- Full-time
- CPA
- Office
- 8 years
- Disability insurance
- Health insurance
Investment Operations Manager
Northwestern Mutual-Downtown Pittsburgh —Pittsburgh, PA
- $75,000 - $83,000 a year
- Full-time
- Office
- Finance
- Analysis skills
- Health savings account
- Health insurance
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14d
Registered Client Service Associate
Raymond James Financial, Inc. —Manassas, VA
- Full-time
- Mid-level
- Office
- 3 years
- Paid holidays
- Health insurance
Portfolio Manager - Financial Services
ASPIRIANT LLC —Austin, TX
- Hybrid work
- 6 years
- Office
- Finance
- Health insurance
- 401(k) matching
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Fund Services Team Lead
Janus Henderson —Denver, CO
- $75,000 - $85,000 a year
- Full-time
- Research
- Mid-level
- High school diploma or GED
- Health insurance
Inside Sales Representative - Financial Services
Symmetry Partners —Glastonbury, CT
- From $75,000 a year
- Full-time
- Background check
- 5 years
- Finance
- Dental insurance
- Vision insurance
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Associate Director, Legal Counsel
Janus Henderson —Denver, CO
- $150,000 - $160,000 a year
- Hybrid work
- Mid-level
- Analysis skills
- 2 years
- Health insurance
- Parental leave
Staff Accountant - Audit
Holman Frenia Allison, P.C. —Lakewood, NJ
- $60,000 - $65,000 a year
- Full-time
- Microsoft Word
- Background check
- Microsoft Excel
- Health savings account
- Paid holidays
Managing Counsel
Janus Henderson —Denver, CO
- $240,000 - $250,000 a year
- Hybrid work
- Microsoft Word
- Microsoft Excel
- 11+ years
- Paid holidays
- Health insurance
Wealth Advisor
TPM Placement —Cheshire, CT
- $110,000 - $120,000 a year
- Full-time
- CPA
- Bachelor of Science
- Writing skills
- Profit sharing
- Paid training
Quick Apply
Senior Manager, Mutual Fund Tax
KPMG —Miami, FL
- Full-time
- CPA
- Office
- 8 years
- Disability insurance
- Health insurance
Internal Sales Consultant
Janus Henderson —Denver, CO
- $49,000 - $120,000 a year
- Microsoft Word
- Bachelor of Science
- Research
- Paid holidays
- Health insurance
8d
Associate Sales Consultant (Workplace)
T. Rowe Price —Colorado Springs, CO
- $67,000 - $93,000 a year
- Full-time
- Hybrid work
- Mid-level
- Bachelor's degree
- Organizational skills
- Paid time off
- Adoption assistance

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Brokerage & Advisory Manager

Concorde Investment Services -
Boca Raton, FL

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Job Details

Full-time
$100,000 - $130,000 a year

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Flexible spending account
Paid time off
Employee assistance program
Vision insurance
401(k) matching
Life insurance

Qualifications

Investment firm experience
Trade execution in financial markets
Financial transaction processing
Operational management
Securities & Exchange Commission
Regulatory compliance
Series 66
Series 7
Team development
Securities law compliance support experience
Team management
Vendor communication
Series 24
Securities law
FINRA License
Process improvement planning
Experience at securities companies

Full Job Description

Overview
This role 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.

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 Structure

This position is based in Boca Raton, Florida. The role will begin remotely and transition to regular in-office collaboration once the office is operational. Candidates must be located in or willing to relocate to the Boca Raton area.

Roles and Responsibilities

Leadership & Team Management

Lead, develop, and manage the Brokerage and Advisory Operations teams, including hiring, training, coaching, and performance management
Conduct quarterly and annual performance reviews and establish clear accountability standards
Build a scalable team structure aligned with firm growth and operational demands
Foster a high-performance, service-oriented culture across the operations function

Brokerage & Advisory Operations Oversight

Oversee day-to-day brokerage and advisory operations, including trading, cashiering, account maintenance, and asset movement across all custodians
Supervise trade execution, allocation, and review across equities, fixed income, mutual funds, alternatives, and advisory platforms
Review trade blotters, exception reports, and activity reports across Pershing, Schwab, RBC, and external RIAs
Monitor margin activity and ensure timely communication and resolution with representatives
Oversee alternative investment processing, ensuring accuracy and timeliness at each stage
Ensure proper handling of trade errors, rejects, and documentation for audit and regulatory purposes

Advisor & Branch Support

Serve as a key escalation point for advisors and internal teams on trading, account, and operational issues
Support onboarding of new advisors, including training on custodial platforms and operational workflows
Assist advisors in navigating Pershing NetX360, Schwab Advisor Center, RBC Nexus, Envestnet, and related systems
Partner with advisors to resolve complex operational issues, including transfers, margin, and account servicing

Process Improvement & Strategy

Identify and implement process improvements to increase efficiency, reduce risk, and enhance advisor experience
Evaluate current workflows and systems to streamline operations and reduce manual processes
Partner with senior leadership to align operations with broader firm strategy, including growth and advisor recruiting initiatives
Reduce operational inefficiencies, including minimizing house account volume and improving processing timelines

Risk Management & Compliance Support

Ensure adherence to SEC, FINRA, and state regulatory requirements across all operational functions
Review and monitor exception reports for best execution, trading activity, and compliance risks
Partner with Compliance and Supervision teams to support audits, branch exams, and regulatory inquiries
Maintain accurate records and documentation to support internal and external audits

Reporting & Collaboration

Provide regular reporting on trading activity, volumes, and operational metrics to senior leadership
Collaborate closely with the COO, CCO, Finance and Technology teams
Support firm initiatives related to technology, platform enhancements, and operational infrastructure

Abilities and Experience Required

Extensive experience in brokerage and advisory operations within a broker-dealer and/or RIA environment
Strong working knowledge of Pershing, Schwab, and RBC platforms
Experience with Envestnet and advisory billing platforms preferred
Deep understanding of brokerage operations including trading, cashiering, account onboarding, and transfers
Strong knowledge of SEC, FINRA, and state regulatory requirements
Proven leadership experience managing and developing high-performing teams
Ability to prioritize and execute in a fast-paced, high-volume environment
Strong problem-solving skills with a focus on process improvement and efficiency
Ability to communicate effectively with advisors, vendors, and internal stakeholders
High level of accountability, ownership, and attention to detail

Minimum Licensing and Requirements

FINRA Series 7, 24, and 66 (required)

Compensation & Benefits

Competitive base salary plus performance-based incentives
401(k) with company match
Health, dental, and vision insurance
Flexible spending and health savings accounts
Paid time off and employee assistance programs

Pay: $100,000.00 - $130,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Vision insurance

License/Certification:

FINRA Series 24 (Required)
FINRA Series 66 (Required)
FINRA Series 7 (Required)

Work Location: In person

Quick Apply

Refine Your Search

Mutual Fund Firm jobs

Brokerage & Advisory Manager

Internal Wholesaler

Operations Transition Associate

Securities Trading Associate

Corporate Counsel

Financial Advisor

Registered Client Service Associate

Senior Manager, Mutual Fund Tax

Investment Operations Manager

Registered Client Service Associate

Portfolio Manager - Financial Services

Fund Services Team Lead

Inside Sales Representative - Financial Services

Associate Director, Legal Counsel

Staff Accountant - Audit

Managing Counsel

Wealth Advisor

Senior Manager, Mutual Fund Tax

Internal Sales Consultant

Associate Sales Consultant (Workplace)

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