Operations Manager — Wealth Management & Broker-Dealer

Location: Dallas, TX (Headquarters / Primarily In-Office)

The Numbers: 100K – 125K Base Salary + 10% Annual Management Bonus Tier

The Big Picture

Our client is an established, award-winning hybrid Broker-Dealer and RIA supporting independent financial practices nationwide. Built on a boutique, high-touch service model with enterprise-grade clearing relationships (First Clearing, RBC, SEI), they operate with a flat governance structure and a 2.4-to-1 advisor-to-staff ratio. The platform is specifically engineered to solve complex operational challenges and facilitate access to both traditional and non-traditional wealth solutions without unnecessary red tape.

The Mission

This role serves as the central operational backbone for the firm's broker-dealer and advisory engine. Leading a dedicated operations desk, you will oversee day-to-day transaction approvals, asset movements, and clearinghouse integrations while driving scalable process improvements across internal platforms. Your mandate is to partner closely with advisory practices, eliminate administrative friction, and maintain a pristine supervisory and compliance baseline.

The Daily Grind (The Good Kind)

• Supervisory Sovereignty: Lead and mentor the day-to-day operations team, managing direct reports, workflow dashboards, and timely execution across all new accounts and account maintenance requests.
• Money Movement & Risk Sign-Off: Execute daily operational approvals for banking, signature guarantees, and high-volume asset movements while maintaining strict alignment with state, federal, and FINRA regulatory frameworks.
• Clearing & Platform Liaison: Manage core operational workflows and partner interfaces across multi-clearing channels, including First Clearing, RBC Clearing & Custody, SEI, and internal Salesforce ecosystems.
• Service Architecture & Policy: Champion service excellence through the Service Associate Council, maintain the internal operations knowledge base, and develop clear advisor-facing operational updates.

Your Toolkit

• The Battle Scars: 5+ years of direct broker-dealer or dual-hatted BD/RIA operational supervisory experience.
• Active Licensing: Active Series 7, Series 24, and Series 66 (or Series 63/65 combo).
• Clearinghouse Fluency: Demonstrated background navigating institutional clearing platforms (First Clearing, RBC, SEI) and CRM systems (Salesforce).
• Operational Judgment: Proven ability to balance regulatory compliance and risk mitigation with a solution-first approach to complex advisor scenarios.

The Payoff

• Operational Impact: Direct voice in shaping workflows, systems, and associate development alongside senior executive leadership.
• Boutique Agility: Work within an entrepreneurial environment that actively seeks paths to "yes" for its advisors rather than hiding behind rigid bureaucratic roadblocks.
• Competitive Package: 100K – 125K base salary, an annual 10% management bonus tier, and comprehensive corporate benefits.

Our Partnership Approach

Thank you for trusting Lupton Partners with your career transition. We take immense pride in our work, but our focus is always on the outcome—for both the candidates we represent and the companies we serve. If the first role we discuss isn't the perfect fit, we won't force it. Our goal is to land you in the right place, not just the next place. We also recognize that career changes—even the most exciting ones—come with a side of stress. That’s normal. We’re here to handle the heavy lifting and provide clarity at every step.

What to Expect

• The Introduction Call: This is a high-level chemistry check. We’ll dive into your history, map out your career goals, and get real about compensation and advancement targets.
• Active Searches: We’ll match your story to our clients' needs. We keep compensation targets front-and-center so nobody’s time is wasted.
• Client Submissions: It is our promise that we do not present your name or credentials to clients without clear communication and your explicit permission.
• Interview Feedback: This is where we earn our keep. Call us as soon as you hit the parking lot. If you think you fumbled a question or found a better answer ten minutes too late, let’s talk.
• Background Checks: Absolute transparency. We manage red flags together before they become "surprises."
• Offers: No surprises. We align on numbers early so the formal letter is a "green light" celebration.

Questions? Reach out anytime. Travis Lupton Office: 913-521-3303 | Mobile: 913-231-8472 travis@luptonpartners.com