Director of Operations

Onsite

A family-owned wealth management firm, is seeking an experienced and strategic Director of Operations to oversee operations and compliance for its Registered Investment Advisor and Broker-Dealer functions. This role is pivotal in implementing operational efficiencies, ensuring regulatory compliance, and driving the firm's long-term vision. The ideal candidate will be a proactive leader with a strong understanding of financial operations, compliance regulations, and technology within the wealth management industry.

Director Of Operations Responsibilities

• Develop, implement, and refine operational processes and compliance procedures for RIA and BD functions
• Collaborate with the Board of Directors on strategic planning, staffing, and firm-wide initiatives
• Organize and lead annual advisor retreats, including agenda creation, compliance and operations updates, and technology advancements
• Oversee HR and technology needs, assisting with hiring, training, payroll, health insurance, and vendor management
• Manage the firm’s 401(k) plan and coordinate with payroll vendors
• Supervise marketing efforts to ensure regulatory compliance and alignment with the firm’s client-centric approach
• Stay current on HR and compliance regulations, industry best practices, and emerging technology trends
• Lead training initiatives for new hires and ongoing staff development
• Attend and represent the firm at industry conferences
• Act as the primary escalation point for operational and compliance issues across the firm’s Naples and Rochester offices
  
  

Director Of Operations Requirements

• 5+ years of experience in operations within an RIA environment
• 2+ years of supervisory experience
• Strong knowledge of RIA compliance and BD regulations
• Proficiency in Excel and Microsoft Office Suite
• Bachelor’s degree preferred, but experience will be considered in place of a degree
• Series 65 preferred
• Experience managing HR, payroll, and benefits administration
• Familiarity with eMoney, Smart Office, Morningstar, Visio
• Strong leadership, organizational, and time management skills
• Ability to interpret and communicate compliance regulations effectively
• Experience in a small to mid-sized firm wearing multiple hats
  
  

Benefits

• Competitive salary based on experience
• Employer contributions to a 401(k) with a profit-sharing bonus
• PTO with sick leave and paid holidays, including a floating holiday
• Health insurance with a percentage of individual premiums covered
• Growth opportunities into advanced portfolio management roles
• Bi-annual cost-of-living increases and long-term milestone bonuses
  
  

If you are an experienced operations and compliance professional looking for a leadership role in a dynamic and well-established wealth management firm, we encourage you to apply!

Onsite

A family-owned wealth management firm, is seeking an experienced and strategic Director of Operations to oversee operations and compliance for its Registered Investment Advisor and Broker-Dealer functions. This role is pivotal in implementing operational efficiencies, ensuring regulatory compliance, and driving the firm's long-term vision. The ideal candidate will be a proactive leader with a strong understanding of financial operations, compliance regulations, and technology within the wealth management industry.

Director Of Operations Responsibilities

• Develop, implement, and refine operational processes and compliance procedures for RIA and BD functions
• Collaborate with the Board of Directors on strategic planning, staffing, and firm-wide initiatives
• Organize and lead annual advisor retreats, including agenda creation, compliance and operations updates, and technology advancements
• Oversee HR and technology needs, assisting with hiring, training, payroll, health insurance, and vendor management
• Manage the firm’s 401(k) plan and coordinate with payroll vendors
• Supervise marketing efforts to ensure regulatory compliance and alignment with the firm’s client-centric approach
• Stay current on HR and compliance regulations, industry best practices, and emerging technology trends
• Lead training initiatives for new hires and ongoing staff development
• Attend and represent the firm at industry conferences
• Act as the primary escalation point for operational and compliance issues across the firm’s Naples and Rochester offices
  
  

Director Of Operations Requirements

• 5+ years of experience in operations within an RIA environment
• 2+ years of supervisory experience
• Strong knowledge of RIA compliance and BD regulations
• Proficiency in Excel and Microsoft Office Suite
• Bachelor’s degree preferred, but experience will be considered in place of a degree
• Series 65 preferred
• Experience managing HR, payroll, and benefits administration
• Familiarity with eMoney, Smart Office, Morningstar, Visio
• Strong leadership, organizational, and time management skills
• Ability to interpret and communicate compliance regulations effectively
• Experience in a small to mid-sized firm wearing multiple hats
  
  

Benefits

• Competitive salary based on experience
• Employer contributions to a 401(k) with a profit-sharing bonus
• PTO with sick leave and paid holidays, including a floating holiday
• Health insurance with a percentage of individual premiums covered
• Growth opportunities into advanced portfolio management roles
• Bi-annual cost-of-living increases and long-term milestone bonuses
  
  

If you are an experienced operations and compliance professional looking for a leadership role in a dynamic and well-established wealth management firm, we encourage you to apply!