Who We Are
Hickok & Boardman Capital Management is a boutique wealth advisory firm built on deep relationships, thoughtful planning, and a genuine commitment to the families we serve. Our clients trust us with their most complex and meaningful financial decisions, and we take that responsibility to heart.
The Opportunity
We are creating an Operations Manager position to strengthen our client service leadership and build the scalable infrastructure needed for HBCM’s next stage of growth. This person will initially serve as a senior resource and working leader for our service team members, helping establish consistent service standards, improve workflows, and ensure that client needs are handled accurately, proactively, and with exceptional care.
Over time, the role is expected to grow into formal people management and broader firmwide operational leadership. The ideal candidate combines hands-on industry experience with sound judgment, strong follow-through, a process-improvement mindset, and the ability to lead through influence before leading through title.
What You’ll Do
Client Service Team Leadership
- Serve as the senior resource for our Client Service Associates and Client Relationship Consultants, helping resolve complex service issues, prioritize competing needs, and maintain consistent follow-through.
- Model and reinforce HBCM’s standards for responsive, accurate, warm, and proactive client service.
- Provide day-to-day guidance, coaching, and feedback to client service team members, with formal supervisory responsibility expected to increase over time.
- Lead onboarding, training, cross-training, and ongoing professional development for client service team members.
- Help define clear roles, responsibilities, service standards, and accountability across the client service team.
- Review client service workflows, account documentation, and high-impact requests for completeness, accuracy, timeliness, and appropriate escalation.
- Coordinate service coverage across advisors and client service team members, helping ensure continuity during absences, peak periods, and shifting priorities.
- Facilitate effective team meetings, workflow reviews, and communication between advisors, client service team members, financial planning staff, and firm leadership.
- Support performance management by documenting expectations, recognizing strong performance, addressing gaps promptly, and partnering with firm leadership on development plans.
- Identify recurring client-service friction points and promote a culture of ownership, collaboration, continuous improvement, and early escalation of errors or risks.
- Step into client service work when needed, including account opening and maintenance, money movement, transfers, distributions, required documentation, and coordination with custodial or Raymond James resources.
Process, Workflow, and Technology
- Create, document, and regularly evaluate core operating procedures, workflows, checklists, service calendars and quality-control processes to create a scalable client experience while reducing errors and dependence on individual memory.
- Drive consistent and effective use of CRM and other firm technology, including task management, client records, documentation, reporting, and workflow tracking.
- Maintain an operations manual and ensure procedures remain current as technology, staffing, business needs, and regulatory expectations evolve.
- Assess vendor and technology solutions, coordinate implementation, and help the team adopt new tools successfully.
- Develop practical service and operational metrics to identify backlogs, capacity constraints, recurring errors, and opportunities for improvement.
Risk Management and Compliance Coordination
- Partner with firm leadership, Raymond James, and FINRA/SEC compliance resources to ensure operating procedures, documentation, approvals, client information handling, and supervisory follow-through align with regulatory requirements.
- Coordinate operational and compliance activities, including required audits, licensing and registration tracking, business continuity planning, records retention, staff training, technology and security due diligence, and employee policy updates, as applicable.
- Identify operational risks, control gaps, and recurring errors, recommend corrective actions and monitor implementation.
Firmwide Operations and Strategic Growth
- Partner with the firm’s owners and leadership team to translate strategic priorities into clear operating plans, responsibilities, timelines, and follow-through.
- Help evaluate staffing capacity, organizational structure, role design, and resource needs as the firm grows.
- Coordinate cross-functional initiatives that affect client service, advisor efficiency, employee experience, client experience, technology, compliance, and profitability.
- Support annual planning, budgeting, vendor management, office operations, and implementation of leadership decisions.
- Establish meeting rhythms, dashboards, and accountability systems that help the leadership team monitor progress and resolve obstacles.
- Gradually assume broader responsibility for firm operations and people leadership.
What You Bring
- 5+ years of relevant experience in wealth management, investment advisory, brokerage, financial planning, or a similarly regulated client-service environment.
- Strong knowledge of client account operations, service workflows, documentation standards, and the practical demands of supporting advisors and clients.
- Demonstrated ability to lead, coach, organize, and influence colleagues, including without relying solely on formal authority.
- Exceptional judgment, discretion, communication, follow-through, attention to detail, and commitment to accuracy.
- Proven ability to improve processes, document procedures, manage projects, implement change, and prioritize competing needs in a dynamic environment.
- Service-minded, collaborative leadership style and genuine enthusiasm for helping colleagues succeed.
- Proficiency with CRM systems, Microsoft Office, document management, and workflow or project-management tools
- Bachelor’s degree or equivalent combination of education and relevant experience.
Prerequisites
- Experience directly supervising or developing client service professionals in the financial services industry.
- Active SIE, Series 7, Series 66, and Series 9/10 licenses, or willingness and ability to obtain relevant registrations as required.
- Experience with practice management, operational consulting, EOS or similar operating systems, technology implementation, or organizational design.
What Success Looks Like
- Clients receive a consistent, proactive, high-quality service experience regardless of which team member handles the request.
- CSAs and CRCs have clearer priorities, stronger training, reliable backup coverage, and a trusted leader who helps them solve problems and grow.
- Core workflows are documented, measurable, scalable, and less dependent on individual knowledge.
- Errors, bottlenecks, and unresolved tasks are identified earlier and addressed systematically.
- Advisors spend more time on client relationships, planning, and growth and less time on administrative matters.
- The role steadily expands from senior client service leadership into formal management and firmwide operational ownership.
Why Join Us
- A close-knit team that values mentorship, collaboration, authenticity, and excellent work.
- Deep, meaningful client relationships in a planning-focused, non-sales-heavy environment.
- A newly created leadership role with the opportunity to shape how the firm operates and grows.
- Competitive compensation and benefits, with support for professional development.
- A culture where thoughtful ideas, ownership, and continuous improvement are genuinely valued.
Reporting Relationship
This position will report to firm leadership and will initially lead the client service team through workflow ownership, coaching, and coordination. Formal direct-management responsibility is expected to expand as the role and firm evolve.
Hickok & Boardman Capital Management and its employees are independent contractors with respect to Raymond James; not employees of Raymond James. The term “Raymond James” includes, but is not limited to, Raymond James Financial Services, Inc. (“RJFS”) and Raymond James Financial Services Advisors, Inc. (“RJFSA”) as affiliates.
Pay: $70,000.00 - $100,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid time off
- Vision insurance
Education:
Experience:
- financial services industry: 5 years (Required)
License/Certification:
- Series 7 (Required)
- Series 66 (Required)
Ability to Commute:
- Burlington, VT 05401 (Required)
Ability to Relocate:
- Burlington, VT 05401: Relocate before starting work (Required)
Work Location: In person
