Apply by sending a cover email and resume to Sovereign's CEO, Chuck Failla, CFP®:

Job Description: RIA Operations Manager

Position Summary / Ideal Candidate

We are looking for an RIA Operations Pro to be the single point of contact to coordinate the 3 central operation hubs at our firm:

  1. Trading
  2. Client Service Support
  3. IT / Internet presence

We currently have an excellent team member in place for each of the 3 categories above and are now at the point where we need someone to tie all the areas together seamlessly. You will work directly with the firm's founder + CEO to develop processes and procedures to insure a tight integration between our Trading, Client Support functions, and IT. You must be comfortable working independently and be able to take full "ownership" of operations. An ideal candidate will have meaningful experience in at least 2 of the 3 areas. The perfect candidate will have strong RIA experience in all 3.


We value our colleagues and recognize the importance of maintaining a high-quality team to deliver the level of care and type of service experience our clients and advisors are accustomed to. To that end, we look for individuals that share our passion for customer service. Additionally, we are pleased to offer a competitive compensation package that rewards good work and encourages long term associations with our group.

  • Initial Compensation package = $150,000 - $200,000 per year.
  • This position will lead to an equity stake in the firm and COO role within 2-3 years.
  • Company Health, Vision & Dental insurance
  • Opportunity for a hybrid work schedule
  • Company funded 401k. (After one year of service)
  • Generous company funded Profit Sharing Plan
  • Two weeks paid time off
  • Paid Holidays (In addition to your two weeks of Paid Time Off)
  • Complementary use of our office's gym and shower facilities -- conveniently located in our building.
  • Reserved, indoor garage parking.
  • A genuinely warm, positive, family-oriented work environment

Firm Overview

We are a fast-growing RIA firm based in Stamford, CT -- with offices in Connecticut, New York, Pennsylvania & Florida. Our established team provides comprehensive financial planning and investment management services to high-net-worth individuals and 401Ks for small to mid-sized businesses.

Our Platform

We are looking for someone with experience specifically in the RIA space and the following tech solutions:

  • Salesforce
  • Orion (especially "Eclipse")
  • RingCentral
  • eMoney
  • Riskalyze


We would ideally like to find someone that has experience with one or both of our custodians:

  • Raymond James
  • Charles Schwab
  • Fidelity


  • Manage / integrate Trading, IT, Operations and Client Support functions, computer systems, VOIP systems and various cloud-based tech.
  • Design, develop, implement, and coordinate systems, policies, and procedures
  • Work with our IT vendor to ensure security of data, network access and backup systems
  • Act in alignment with user needs and system functionality to contribute to organizational policy
  • Identify problematic areas and implement strategic solutions
  • Audit systems and assess their outcomes
  • Preserve assets, information security and control structures
  • Onboard new employees and teach them the proper way to use our various technology. Then, be a resource for them as they adopt the tech.



  • Meaningful experience working in operations, trading and / or client support at an RIA -- THIS IS A MUST.
  • Experience working with Salesforce and Orion (especially "Eclipse") would be ideal.
  • Ability to manage personnel and interact with users and end clients