Operations Team Lead, Specialized Strategies

Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2024.

SUMMARY:

The Team Lead, Specialized Strategies oversees and supports the team responsible for onboarding clients into complex investment strategies. This role ensures that specialized investment processes run efficiently, accurately, and in alignment with Allworth’s commitment to exceptional client service.

This individual partners closely with the Investments, Trading, Operations, and Advisor teams to optimize workflows, maintain high service standards, and deliver a seamless client experience. We're looking for someone who brings precision, initiative, and intellectual curiosity about capital markets, investments, and how they transact. The ideal candidate is detail-driven, process-oriented, and passionate about developing people and improving systems in a dynamic, fast-paced environment.

 

KEY RESPONSIBILITIES: 

 

Leadership & Oversight

• Lead, coach, and mentor the Specialized Strategies team, fostering a culture of accountability, collaboration, and continuous improvement.
• Conduct regular team meetings, manage coverage schedules, approve timecards, and perform performance evaluations.
• Identify skill gaps and create development plans to strengthen team capabilities.
• Monitor team metrics and workflow queues to ensure timely, accurate, and consistent execution.

 

Process Management

• Collaborate with cross-functional leaders to evaluate, document, and enhance workflows for specialized investment strategy onboarding.
• Maintain process documentation and identify automation or efficiency opportunities.
• Oversee quality control to minimize errors and ensure data integrity.

 

Operational Execution

• Support or process documentation for specialized strategies including tax-smart trading, stock options, separately managed accounts (SMAs), unified managed accounts (UMAs), alternative assets, and structured notes.
• Partner with Advisors and Client Service Associates to facilitate accurate and timely client onboarding.
• Submit and monitor paperwork to custodians such as Schwab, Fidelity, and Pershing, ensuring accurate account setup and tracking to completion.
• Facilitate delivery of client paperwork through DocuSign, mail, or overnight delivery as needed.
• Provide updates on task status and resolve any escalated issues efficiently.

 

Continuous Improvement

• Partner with internal stakeholders to identify and implement improvements in the third-party product enrollment process.
• Drive operational excellence through standardization, consistency, and proactive issue resolution.
• Uphold and model Allworth’s guiding principles in all interactions.
• Willing to travel to a centralized location for initial in-person training.
• Consistently demonstrating Allworth’s guiding principles.
• Any other duties as assigned.

 

REQUIREMENTS: 

• Bachelor’s degree preferred.
• 3–5 years of experience in an RIA, asset management, or multi-custodial environment.
• Strong understanding of investment products, account structures, and the trade lifecycle.
• Proficiency with Microsoft Excel and investment systems (e.g., Tamarac, Black Diamond, Orion, Advent, or similar platforms).
• Familiarity with major custodians (Schwab, Fidelity, Pershing, etc.).
• Excellent analytical, problem-solving, and organizational skills.
• Extreme attention to detail and commitment to accuracy.
• Outstanding verb