Director, Account Services

Mutual Group

. Lead, manage, and hold accountable associates in New Accounts and Maintenance .

Posted 10/12/2026full-timeWestlake Village • California • United StatesLead💰 $95,000 - $120,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in broker-dealer operations, including new account establishment and maintenance, while effectively leading teams and managing complex account issues. Proficient in utilizing operational metrics for performance management and ensuring compliance with industry standards.

Highest-signal resume keywords

Broker-Dealer OperationsTeam LeadershipSeries 7 CertificationCharles Schwab and Fidelity PlatformsNIGO and ACAT Knowledge

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

New Account EstablishmentAccount MaintenanceCashieringQuality Control ReviewsAccount ReconciliationOperational Metrics ManagementProcess DocumentationWorkflow ImprovementsData Integrity ManagementEscalation Management

Soft Skills

Clear CommunicationOrganizational SkillsCoaching and TrainingProblem-SolvingAdaptability

Tools & Technologies

Brokerage PlatformsCustodial SystemsOperational Software

Certifications & Qualifications

Series 7Series 24 (Preferred)Series 9 and 10 (Preferred)

Industry Keywords

RIA OperationsAccount SupervisionComplianceFee DebitsACAT TransfersCash Movement ControlsService LevelsQuality Reviews

Tech Stack

Tools & technologies

NFS

About the role

Key responsibilities & impact

Lead, manage, and hold accountable associates in New Accounts and Maintenance
Set priorities, maintain queue coverage, coach team members, and conduct check-ins and year-end evaluations
Serve as the first escalation point for account issues and personally handle complex cases
Escalate capacity, custodian, and risk issues to the Vice President, Account Services with recommendations
Own new account establishment, including transition paperwork, account opening, account tagging, broker-dealer changes, and NIGO resolution
Own account maintenance, including feature updates, account changes and closures, terminated representative processing, and information requests
Coordinate daily with Charles Schwab and Fidelity (NFS) to resolve issues and process requests
Oversee cash and securities movement, direct business money movement, fee debits, and ACAT transfers
Support advisors and clients with self-cashiering guidance and requests
Maintain data field and rep code integrity across systems and custodians
Conduct quality control reviews, account reconciliation, quarterly account audits, quarterly account quality and performance reporting, and data feed requests
Coordinate with Account Supervision and Compliance on principal reviews, audits, and escalations
Document processes, train associates, and improve adherence
Identify automation and workflow improvements and recommend them to the Vice President, Account Services
Report to the Vice President, Account Services

Requirements

What you’ll need

Seven or more years in broker-dealer or RIA operations, including new accounts, account maintenance, and cashiering
At least three years leading people
Series 7 required
Series 24 preferred, or Series 9 and 10 preferred
Working knowledge of custodial and brokerage platforms, including Charles Schwab, Fidelity, and NFS
Knowledge of NIGO, ACAT, and money movement controls
Experience running queues, service levels, and quality reviews
Ability to use operational metrics to manage work
Ability to document processes, train associates, and enforce adherence
Bachelor's degree in business or a related field, or equivalent experience
Clear, direct communication and ability to escalate issues early
Organized and steady under volume
Ability to step in and perform the work when needed
Resume and cover letter required for application

Benefits

Comp & perks

Health insurance
Matching 401(k)
Generous PTO
Wellness initiatives
Continuous learning and professional development opportunities
Supportive and growth-oriented environment
Collaborative, client-focused team environment