Job Description
Job Description
Description : Position Overview :
The Director of Operations for Financial Marketing Organization (FMO) will be instrumental in overseeing and optimizing the daily operational functions within the firm. This leadership position requires a candidate with financial expertise, a strategic mindset, and the ability to streamline processes and manage resources effectively. The Director of Operations will work closely with senior leadership, compliance, and finance teams to ensure smooth and efficient service delivery to clients, advisors, and stakeholders.
Key Responsibilities :
Operational Leadership :
- Oversee and manage the operational workflows across various departments to ensure optimal efficiency, productivity, and adherence to regulatory requirements.
- Develop, implement, and improve operational processes, systems, and infrastructure to support the firm's growth and scalability.
- Monitor and evaluate key operational metrics, making data-driven decisions to optimize performance and reduce inefficiencies.
Compliance and Risk Management :
Collaborate with the compliance team to ensure all operations adhere to industry regulations and standards (SEC, FINRA, state regulations).Ensure that operational processes minimize risks and maintain a strong compliance posture.Manage and resolve operational or client-related issues promptly, maintaining compliance at all stages.Team Leadership and Development :
Lead, manage, and mentor the operations team to ensure they are aligned with the firm’s goals and culture.Provide ongoing training and development to enhance team performance, promoting cross-functional collaboration.Foster a positive and inclusive work environment while ensuring high levels of team engagement and productivity.Technology and Systems Management :
Evaluate and implement technological solutions and platforms that enhance operational efficiency and support the firm’s business objectives.Partner with the IT department and third-party vendors to ensure seamless integration and ongoing improvement of software, CRM systems, and data management tools.Stay informed on technological trends and industry best practices to drive innovation within the firm.Financial Operations :
Collaborate with the finance team to support financial planning, reporting, and budgeting processes.Ensure operational costs are controlled, and financial resources are allocated effectively to support growth.Contribute to forecasting, budget management, and financial reporting to align operational decisions with financial goals.Client and Advisor Relationship Management :
Maintain strong relationships with financial advisors, ensuring their needs are met with exceptional service.Provide strategic support to advisors to help develop their practices and foster client relationships.Address and resolve escalated client or advisor issues with professionalism and attention to detail.Strategic Planning and Execution :
Contribute to the firm’s strategic planning and execution, ensuring operational activities align with long-term goals.Requirements : Education :
Bachelor’s degree in Business, Finance, Operations Management, or related field; MBA or relevant certifications preferred.Experience :
Minimum of 7-10 years of experience in operations management, ideally within FMO, financial services, or wealth management industry.Proven leadership experience with a track record of driving operational excellence.In-depth understanding of financial planning processes, advisor platforms, and wealth management systems.Strong knowledge of regulatory requirements governing FMOs, and / or financial firms.Familiarity with CRM platforms, portfolio management tools, and other financial technology solutions.Exceptional problem-solving, analytical, and decision-making skills.Excellent communication skills, both written and verbal, with the ability to engage with internal and external stakeholders.Key Competencies
Strategic thinking with a focus on operational efficiency and improvement.Strong leadership and people management skills, with the ability to inspire and develop teams.Analytical mindset, capable of solving complex challenges with adaptability.Detail-oriented with a commitment to quality and operational excellence.Strong organizational skills, with the ability to manage and prioritize multiple projects simultaneously.Proactive and solutions-driven approach to business operations.Work Environment and Conditions :
In-office position based in Fort Lauderdale, FL.Occasional travel is required for client or advisor meetings and conferences.Physical Requirements
Ability to work for extended periods at a desk using a computer with a keyboard, mouse, and monitor.Occasional repetitive motions for computer equipment use.Regular use of telephone and email for communication.Work is typically performed in an office setting, involving routine sitting, bending, and stooping.Travel to Advisors' offices is required, utilizing car, train, or plane.Sound Income Group is an E-Verify employer.
Sound Income Group is an equal opportunity employer that complies with all applicable federal, state, and local laws, rules
and regulations. It is our policy to employ and promote qualified candidates without discrimination on the basis of race, color, sex, age, origin, sexual orientation, marital status, disability or any other characteristic protected by law. Our hiring decisions are based solely on merit, qualifications and business needs.
