What are the responsibilities and job description for the Director of Operations position at Ashton Thomas Private Wealth?
This job description outlines a senior leadership role focused on overseeing operations within an RIA (Registered Investment Advisor) and Broker Dealer environment. The Director will be responsible for managing a team, optimizing processes, ensuring compliance, and fostering strong relationships with key stakeholders, including custodians, advisors, and executives.
Ideal Candidate :
The ideal candidate will be a hands-on leader with a track record of team building, operational excellence, and relationship management. They will have a deep understanding of financial products and services, particularly in the RIA and Broker Dealer sectors, and will be able to navigate complex challenges in a fast-paced environment.
Key Duties :
- Team Management : Lead and develop the Operations team, ensuring smooth daily operations.
- Operational Strategy : Understand and manage key drivers of the department’s performance, making tactical decisions to meet service levels.
- Compliance & Issue Resolution : Address operational and compliance challenges promptly, ensuring smooth processes.
- Vendor Relationship Management : Build and maintain relationships with custodians and other partners to resolve time-sensitive issues.
- Data Reconciliation and Management : Review and ensure accurate data quality across platforms.
- Process Improvement : Identify areas for improvement and work with senior leaders to implement efficiencies.
- Special Projects : Assist with communications and presentations for the field and contribute to projects that drive operational improvements.
Required Skills & Experience :
