Job Description

Operations Manager

Location: Allen, TX | Employment Type: Full-time

About the Role

We are seeking an Operations Manager to join our team in Allen, TX. This role is responsible for ensuring the efficiency and effectiveness of our firm's daily operations while overseeing compliance functions. The Operations Manager will supervise our virtual administrative team that manages key operational processes, including Opportunities, Cases, and RMDs , and will ensure that all office operations run smoothly. This position plays a crucial role in maintaining regulatory adherence, optimizing workflows, and improving firm-wide efficiency.

Key Responsibilities

Operations & Office Management

• Oversee the daily operations of the firm, ensuring smooth and efficient workflows.
• Supervise and support virtual administrative professionals.
• Identify and implement process improvements to enhance operational efficiency and client experience.
• Manage vendor relationships, office logistics, and technology needs to maintain an organized and professional work environment.
• Develop and enforce policies to maintain best practices in operational and administrative functions.

Compliance Oversight

• Ensure compliance with SEC, FINRA, and other applicable regulations , proactively identifying areas of risk and implementing necessary updates or controls.
• Act as a Registered Principal , obtaining a Series 24 license within the first three months of employment .
• Develop, implement, and maintain compliance policies and procedures in response to evolving regulatory requirements.
• Conduct internal audits, monitor surveillance systems, and oversee activities to maintain adherence to industry regulations.
• Provide compliance training to staff to foster a culture of awareness and integrity.
• Review and approve advertising, marketing materials, client communications, and investment documentation for regulatory compliance.
• Maintain accurate records and handle required filings, disclosures, and reporting to regulatory bodies.

What We’re Looking For

• Required: Active Series 7 license and ability to obtain Series 24 within the first three months of employment
• Experience in operations and compliance within the financial services industry
• Strong knowledge of SEC, FINRA, and other relevant regulatory frameworks
• Proven ability to develop and implement operational and compliance policies and procedures
• Ability to manage virtual administrative teams and oversee key operational functions
• Excellent problem-solving, leadership, and communication skills
• Bachelor’s degree in Finance, Business Administration, or a related field

What Makes You a Great Fit

• You thrive in a fast-paced environment and excel at managing multiple priorities .
• You’re a proactive leader who can balance compliance requirements with strategic business goals .
• You have a keen eye for operational efficiencies and continuously seek ways to improve processes.
• You’re passionate about ethical business practices and regulatory integrity .

Benefits

• Competitive compensation and benefits package
• 401(k) plan with company contribution
• Insurance coverage ( health, life, dental, vision )
• Paid time off and holidays
• Long & short-term disability coverage

About Us

North Texas Wealth Management has been empowering individuals and families to achieve their financial goals since 1968. As a fee-based wealth management firm, we provide personalized services across all stages of the financial journey. Our team-oriented culture fosters collaboration, positivity, and growth, backed by industry-leading technology and competitive benefits. We are committed to values-based investing, leveraging innovative tools to optimize financial planning and maximize investment and tax strategies.

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