Firm Background: U.S. Capital Wealth Advisors (“USCWA”) is an independent hybrid wealth management firm headquartered in Houston, Texas, managing approximately $9 billion in AUM/A across over 5,500 clients and 62 advisors. USCWA has a strong footprint in Texas across Houston, Austin, Dallas, and Georgetown, as well as offices in New York City and Massachusetts. USCWA is majority owned by Arax Investment Partners (“Arax”), a premier wealth management platform company backed by RedBird Capital Partners (“RedBird”).
USCWA’s mission is to combine the deep experience and expertise of its financial advisor teams with the significant breadth and depth of its investment strategies and solutions to deliver an exceptional client experience.
Overview: As an Operations VP, you will lead the planning, execution, and implementation of initiatives aimed at enhancing operational efficiency, Advisor and client experience, and overall business performance. This role requires a unique blend of process reengineering, project management expertise, technical acumen, and financial services industry knowledge to successfully integrate solutions into our operational framework. The successful candidate will possess strong analytical skills, exceptional attention to detail, and the ability to thrive in a fast-paced environment.
Key Responsibilities:
- Process Optimization: Lead efforts to document an redesign workflows to improve quality, efficiency, effectiveness and control.
- Project Management: Lead or assist in operational projects, including system upgrades, compliance efforts, and process enhancements.
- Systems Audits: Conduct regular audits to ensure compliance with regulations, industry standards, and internal policies.
- Data Management: Maintain accurate client and account data, ensuring integrity and confidentiality.
- Growth Implementation: Support growth initiatives through due diligence and client asset transition coordination.
- Fee Billing: Manage fee billing processes for accuracy and timeliness.
- Performance Reporting: Generate and analyze performance reports for investment decision support.
- Client Servicing: Collaborate with service teams to deliver exceptional client support.
- Risk Management: Identify and mitigate operational risks through effective controls.
- Continuous Improvement: Identify opportunities for process optimization and automation to enhance effectiveness.
· Define KPIs and build relevant dashboards to monitor and make business decisions to improve the company.
· Lead the adoption of new operational technologies such as data driven sales.
Qualifications:
- Bachelor’s degree in business administration, Finance, or related field; advanced certifications preferred.
- 3-5 years of Financial Services and/or Wealth Management operations support experience, including project management, fee billing, performance reporting, and systems audits.
- Proven project management experience, particularly in technology system integration.
- Strong analytical, organizational, and time management skills.
- Proficiency in Microsoft Office Suite and financial software/systems (custodian platforms, portfolio management, financial planning, CRMs).
- Excellent interpersonal and communication skills.
· Need to be familiar with Business Intelligence tools like Tableau / PowerBI / Sigma
· Need to be data and analytical oriented and be able to make business decisions based on analyses.
- Ability to work independently and collaboratively in a dynamic environment.
- Knowledge of regulatory requirements and industry best practices.
- Adaptability and commitment to professionalism and client service.
