Licensed Practice Manager / Director of Operations
About Legacy Wealth Alliance
Legacy Wealth Alliance is a growing independent wealth management firm serving individuals, families, retirees, pre-retirees, and business owners throughout the Phoenix East Valley.
We are committed to delivering exceptional client service, comprehensive financial planning, investment management, retirement-income planning, tax coordination, estate planning coordination, and insurance solutions. We pride ourselves on building long-term relationships and delivering a boutique, high-touch client experience.
Position Overview
What This Role Matters
This is not a traditional office manager position. We are seeking an operational leader who will help create scalability, improve accountability, strengthen client service standards, optimize workflows, and serve as a strategic operating partner to the firm's founder. The successful candidate will play a key role in helping the business grow while creating greater visibility, consistency, and operational excellence across the organization.
We are seeking a Licensed Practice Manager / Director of Operations to serve as the operational leader of our firm.
This person will own day-to-day operations, client service standards, onboarding workflows, team accountability, compliance coordination, technology utilization, vendor relationships, scheduling cadence, and process improvement initiatives.
This is not a basic administrative role.
We are seeking an operational leader who can create visibility, accountability, and operational calm while helping the firm continue to grow.
We are looking for a leader who understands wealth management operations, enjoys building systems, solving problems, creating accountability, improving client experience, and helping a successful advisory firm scale.
The successful candidate will serve as the operational right hand to the firm's founder and play a key role in reducing operational complexity, creating visibility across the business, and helping build a more scalable organization.
This role offers the opportunity to make a meaningful impact while helping shape the future growth of an established and respected independent wealth management firm.
Primary Responsibilities
- Own daily operations, workflow management, and team accountability.
- Manage client onboarding from signed decision through completed implementation.
- Track applications, transfers, account openings, underwriting, service requests, and follow-up items.
- Ensure client service standards are documented, scheduled, measured, and delivered consistently.
- Create and maintain workflows, checklists, dashboards, tracking systems, and standard operating procedures.
- Lead weekly operations meetings and improve organizational visibility.
- Coordinate compliance activities and maintain audit-ready documentation.
- Supervise and support client service and planning-support workflows.
- Monitor CRM utilization and ensure tasks are assigned, tracked, and completed.
- Coordinate relationships with custodians, insurance carriers, vendors, technology providers, and outside partners.
- Identify bottlenecks, operational risks, and process improvement opportunities before they become client problems.
- Help create a business that is less dependent on the owner for daily operational oversight.
Qualifications
- 5+ years of wealth management, RIA, broker-dealer, financial planning, or advisory operations experience.
- Prior experience as a Practice Manager, Operations Manager, Client Service Manager, Senior Registered Associate, Registered Operations Associate, or similar role.
- Demonstrated success managing workflows, deadlines, service standards, and operational accountability.
- Strong understanding of account opening, transfers, money movement, insurance processing, compliance workflow, and client service operations.
- Experience using CRM systems, workflow management tools, dashboards, and process improvement methodologies.
- Excellent communication, leadership, problem-solving, and organizational skills.
- Ability to lead adults professionally, create accountability, and operate independently.
Preferred Qualifications
- Active Series 7 license.
- Active Series 66, Series 65, or Series 63 license.
- Life and Health Insurance license.
- Experience working within an independent RIA, broker-dealer, or wealth management practice.
- Previous experience managing staff and operational teams.
Compensation & Benefits
- Base Salary: $95,000 – $120,000
- Performance-Based Bonus Opportunity
- Health Insurance
- Paid Time Off
- 401(k)
- 401(k) Matching
- Retirement Plan
- Profit Sharing (eligible after one year of employment)
- Professional Development Assistance
- Licensing and Designation Support
Why Join Legacy Wealth Alliance?
This is an opportunity to join a successful, growing independent wealth management firm where your contributions will have a direct impact on the client experience, operational effectiveness, and future direction of the business.
We are seeking someone who wants more than a job. We are looking for a long-term operational leader who wants to help build something meaningful, improve systems, support an outstanding team, and play an important role in the continued growth and success of Legacy Wealth Alliance.
Pay: $95,000.00 - $120,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Health insurance
- Paid time off
- Professional development assistance
- Profit sharing
- Retirement plan
Application Question(s):
- Describe one operational process, workflow, or service model you personally improved that increased efficiency, accountability, or client service.
- How many employees have you directly supervised or managed, and what were your leadership responsibilities?
- What annual compensation range would you require to seriously consider a career change?
Experience:
- financial services: 5 years (Preferred)
License/Certification:
- and current FINRA License (Preferred)
Work Location: In person
