The Daily Upside · 13 hours ago
Head of Wealth Management Operations
United States
Part-time
Remote
Director/Executive
7+ years expThe Daily Upside is one of the largest financial newsletter companies, and they are seeking a Head of Wealth Management Operations to build out their Registered Investment Advisor (RIA) firm. This role involves overseeing the operations, compliance, and technology stack to ensure the firm operates efficiently and effectively.
Digital MediaInformation ServicesNews
Hiring Manager
Patrick Trousdale
Responsibilities
Audit, select, and implement our tech stack including custodian, CRM, financial planning software, TAMPs, etc. Manage relationships with vendors over time
Build and maintain the client funnel from e-capture to discovery to onboarding and maintenance
Optimize client experience to make sure every new onboarding is a frictionless experience
At the outset, serve as the firm’s Chief Compliance Officer
Maintain the compliance manual, code of ethics, and written supervisory procedures
Shape how The Daily Upside media company interacts with the RIA and build the compliance and disclosure apparatus to remain compliant
Manage the compliance calendar, perform annual reviews, and oversee all SEC/State filings (Form ADV, Form CRS, U4/U5)
Implement cybersecurity protocols and data privacy standards in accordance with modern regulatory expectations
Oversee the quarterly fee billing process, ensuring 100% accuracy and reconciliation with custodial data
Develop and present KPIs including client acquisition cost, LTV, Key Performance Indicators (KPIs) to the Founder (e.g., Client Acquisition Cost, LTV, AUM Churn)
Monitor firm margins, manage the budget, and optimize the cost-to-serve for different client tiers
Qualification
Required
Strong written and verbal communication skills, with the ability to present succinctly and make decisions quickly
Proven ability as all-hands player with experiencing onboarding vendors, building connections between applications, making forecasts, and meeting deadlines
Highly organized, self-motivated, and comfortable working independently while owning ambiguous problems end to end
Collaborative, solutions-oriented mindset with enthusiasm for partnering cross-functionally in a creative, growth-focused organization
Ability to pivot from high-level strategic planning to granular compliance paperwork without losing momentum
Minimum 7–10 years in the financial services industry, with at least 3 years in an operations or leadership role at an Independent RIA
Series 65 or equivalent required
Deep proficiency in RIA-specific software
Preferred
Professional designations (CFP) or an MBA are a significant plus
Benefits
Performance-based project bonuses
Bonus
Equity Compensation
Company
The Daily Upside
The Daily Upside is a digital media company that provides business, finance, economics, and investing information services.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Patrick Trousdale
Chief Executive Officer
Tim Schwartz
Chief Technology Officer
Company data provided by crunchbase