Director of Operations (Wealth Management)

Director of Operations (Wealth Management)

Title: Director of Operations

Compensation: $120,000 - $160,000 base salary performance-based bonus

Employment Type: Full-time

About the Firm

Our client is a growing, well-established wealth management firm that provides comprehensive financial planning and investment advisory services to high-net-worth individuals, families, and businesses. They are known for their high-touch advisory experience, personalized solutions, and commitment to operational excellence.

Position Overview

The Director of Operations is a critical leadership role responsible for overseeing daily operations, team development, optimizing workflows, managing the firm's priorities that support the strategic vision, and enhancing the client experience. This position works closely with the advisors, support staff, and leadership to drive efficiency, support business growth, and ensure seamless execution of operational initiatives.

We’re seeking a proactive, self-sufficient, solution-oriented leader with a strong financial services background who can scale into a strategic leadership position over time. This person will be a genuine connector with people.

Key Responsibilities:

• Oversee day-to-day operations, ensuring all processes run smoothly and efficiently.
• Optimize client service functions to maintain a high-touch, white-glove experience.
• Implement and refine operational workflows to improve efficiency and team performance.
• Manage the marketing plan and initiatives.
• Collaborate with compliance teams to ensure adherence to all regulatory requirements.
• Lead technology initiatives, optimizing CRM, financial planning software, and reporting tools.
• Manage staff hiring, training, performance, and professional development.
• Manage and analyze firm data for reporting to support leadership decision-making and SOP development.
• Manage the firm's key initiatives that support the firm with accountability and timelines.
• Act as a key liaison for vendors, custodians, and service providers.

Qualifications:

• 7 years of experience in financial services, wealth management, or RIA operations.
• Proven ability to manage operations, compliance, and client service within a wealth management setting.
• Strong leadership and team management skills.
• Proficiency with financial planning and portfolio management software (e.g., eMoney, Orion, Tamarac).
• Understanding of industry regulations and compliance standards.
• Excellent communication, organizational, and problem-solving skills.
• Bachelor’s degree required; industry designations (CFP®, CIMA®, CPA) preferred.

Compensation & Benefits:

• Base Salary: $120,000 - $160,000, based on experience and qualifications.
• Performance-Based Bonus: Additional earnings potential based on firm and individual performance.
• Benefits: Competitive health insurance, 401(k) matching, professional development opportunities, and more.