Savvy Wealth · 2 weeks ago
Head of Wealth Management Operations
NYC Office
Full-time
Onsite
Director/Executive
$200K/yr - $230K/yr
8+ years expSavvy is a company focused on modernizing the wealth management industry through technology. They are seeking a Head of Wealth Management Operations to design and scale their operational backbone, ensuring compliance and efficiency while enhancing advisor and client experiences.
Financial ServicesFinTechInformation TechnologyPersonal FinanceWealth Management
Responsibilities
Own and evolve the operating model for our wealth management platform across both RIA and broker-dealer entities, including service, supervision support, onboarding, maintenance, trading, and money movement
Foster a culture of innovation, white-glove support, and continuous improvement
Collaborate closely with Engineering, Product, and Advisory teams to drive innovation through all parts of RIA & B-D Operations
Map, redesign, and standardize core workflows including: KYC/AML, suitability, Reg BI and advisory documentation, trading, rebalancing, cash management, and billing feeds, client service requests and lifecycle maintenance, advisor transitions and rep onboarding, client onboarding / ACATs / account opening
Remove friction between channels so advisors and clients experience 'one firm,' not two regulatory models
Establish and manage the day-to-day operations of Savvy’s Broker-Dealer, including account opening, transaction processing, supervision, and trade surveillance
Partner closely with Savvy’s Engineering, Product, and Design teams to identify and implement appropriate platform improvements to support the growth of Savvy’s BD entity
Work closely with the CCO and FINOP to ensure adherence to FINRA rules and broker-dealer regulatory obligations
Maintain and update required supervisory procedures (WSPs) and coordinate with Compliance and Legal on regulatory filings and exams
Ensure seamless integration and reconciliation between clearing firm systems, CRM, portfolio management tools, and compliance systems
Implement supervisory tools and technology for broker-dealer oversight, including email and trade surveillance systems
Oversee client billing processes and ensure accurate, transparent fee structures
Own performance reporting, regulatory and compliance reporting
Maintain relationships with custodians and third-party tech providers; ensure proper data reconciliation
Translate operational needs into product/engineering roadmaps and drive delivery
Lead adoption and optimization of our tech stack
Identify automation opportunities and reduce manual work through tooling, integrations, and AI-assisted workflows
Define and monitor operational KPIs and SLAs (cycle times, error rates, NIGO rates, service quality, advisor satisfaction, and cost-to-serve)
Implement strong operational controls and vendor oversight across custodians, clearing firms, and third-party providers
Qualification
Required
8–12+ years of progressive operations leadership in wealth management, including direct experience in a hybrid RIA + broker-dealer environment (or running operations for both entities)
Deep familiarity with the practical differences between FINRA BD operations and SEC/state RIA operations, and how to integrate them into a cohesive client/advisor experience
Proven record of scaling teams and processes in a high-growth setting
Strong process design chops: you've personally rebuilt workflows and reduced cycle time/error rates
Tech-forward operator who has led system implementations and automation projects; fluent working with Product and Engineering teams
Excellent people leadership and cross-functional communication
Hands-on experience with: Client billing and performance reporting, Custodian administration and integrations (e.g., Schwab, Fidelity, Pershing), Compliance reporting and regulatory audits, Strong command of operational risk management, process optimization, and systems implementation
Extensive experience using third party tools to power wealth management operations, including leveraging AI tools (e.g., ChatGPT/Claude, analytics copilots, automation) to speed up research, synthesis, and operational workflows
Ability to thrive in a fast-paced, high-pressure, and often ambiguous environment
Active Series 7 and 66, Series 65, CFA or CFP
Preferred
Series licenses (24/9/10) or prior registration as a principal
Operations leadership at a technology-enabled or digitally native wealth/fintech firm
Experience with multi-custodian and/or clearing firm environments
Familiarity with common Wealth Operations Tech stack
Prior responsibility for exam/audit operational readiness across both BD and RIA entities
Benefits
Competitive salary and equity package
Unlimited PTO + paid company holidays
Access to holistic medical, dental, and vision plans
Company 401(k), Commuter, and HSA/FSA plans
NYC office in the heart of Manhattan
Lunch and snacks provided in the office
Access to virtual mental health care (Spring Health), vision related benefits (XP Health), and health concierge (Rightway) to help you find the right care
Access to counseling for stress management, dependent care, nutrition, fitness, legal, and financial issues (Guardian WorkLifeMatters EAP)
Company
Savvy Wealth
Savvy Wealth is a technology-enabled wealth management firm that provides a digital-first platform for financial advisors.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$105.8MKey Investors
The House Fund
2025-07-02Series B· $72M
2024-08-05Series A· $15.5M
2022-11-10Series A· $11M
Leadership Team
Ritik Malhotra
Founder & CEO
Recent News
2025-09-24
2025-09-24
2025-09-23
Company data provided by crunchbase