Company Overview
Stonebridge Wealth Systems is an independent financial advisory firm specializing in wealth management, retirement planning, and annuity solutions. The firm is experiencing rapid growth, aiming for exponential expansion and targeting $400 million in assets under management within the next two years.
With a commitment to delivering top-tier financial services, the firm is actively scaling its operations, improving efficiency, and preparing for future acquisitions in the Midwest region.
To support this growth, Stonebridge Wealth Systems is seeking an Operations Director to oversee the firm's operational functions, HR processes, and administrative efficiencies.
This role is instrumental in optimizing internal processes, ensuring compliance, and supporting the firm’s long-term expansion strategy.
Why This Opportunity?
- High-Growth Firm : Be a key player in an RIA firm targeting $400M AUM in two years with expansion across the Midwest.
- Leadership Impact : Take full ownership of operations, HR, and compliance while supporting the firm’s aggressive expansion.
- Entrepreneurial Culture : Work directly with leadership to shape the firm’s operational strategy and drive success.
- Team-Oriented Environment : Join a collaborative, high-performance team committed to client success and business excellence
Position Summary
The Operations Director will lead and manage the firm's daily operational functions, focusing on HR, compliance, workflow management, and back-office efficiency. This individual will be the driving force behind non-sales and non-marketing aspects of the business, ensuring smooth execution across multiple departments.
They will serve as a problem-solver, addressing operational bottlenecks and maintaining high standards for service delivery and firm-wide productivity.
This position is ideal for someone who thrives in a leadership role, has a deep understanding of financial services operations, and can proactively improve processes while keeping the firm aligned with regulatory and strategic objectives.
Key Responsibilities
1. Operational Leadership & Business Process Management
Oversee and optimize the firm's operational infrastructure, ensuring efficiency across all departments.Develop, implement, and refine internal processes to improve scalability and workplace efficiency as the firm expands.Act as the firm’s primary problem-solver, addressing day-to-day operational challenges to maintain seamless workflows.Ensure accurate annuity payment processing and prevent operational errors that could impact business performance.Collaborate with senior leadership to create growth strategies, supporting the firm’s long-term expansion plans, including potential acquisitions.2. HR & Talent Management
Manage HR responsibilities, including hiring, onboarding, performance management, and employee engagement.Develop and maintain company policies, procedures, and compliance programs, ensuring adherence to industry regulations and labor laws.Oversee benefits administration, including PTO tracking, 401(k) management, and employee compensation structures.Foster a positive company culture, ensuring high levels of employee satisfaction and retention.3. Compliance & Risk Management
Ensure compliance with all financial industry regulations, including SEC, FINRA, and state-specific rules.Implement internal controls to safeguard client data and uphold firm-wide security measures.Maintain HR and operational compliance standards, mitigating risks associated with firm expansion and hiring.Develop firm-wide policies that align with industry best practices and compliance expectations.4. Office & Administrative Oversight
Direct and manage executive assistants and administrative staff to ensure efficiency in daily operations.Establish best-in-class internal workflows, ensuring high productivity across advisor and support teams.Oversee technology and software implementations that improve efficiency, including CRM enhancements and automation initiatives.Serve as the go-to resource for all internal operational challenges, ensuring a streamlined experience for staff and clients alike.Ideal Candidate Profile
Qualifications & Experience
5-10 years of experience in operations management within the financial services industry (wealth management, RIA, insurance, or brokerage firms preferred).Proven track record of optimizing business operations and successfully managing HR & compliance functions.Experience working in fast-growing firms that have expanded significantly in a short period.Strong understanding of regulatory frameworks, compliance standards, and HR best practices.Bachelor’s degree in Business Administration, Finance, or a related field (MBA preferred but not required).Skills & Attributes
Problem-Solving Mindset : Ability to proactively identify and resolve operational challenges.Leadership & Team Management : Proven ability to lead teams, manage executive assistants, and coordinate across departments.Process Optimization : Experience in developing efficient systems and workflows to improve firm-wide productivity.HR & Compliance Knowledge : Solid understanding of HR policies, benefits administration, and regulatory compliance.Tech-Savvy : Ability to leverage technology and automation tools to improve operational efficiency.Detail-Oriented & Organized : Strong ability to multitask, manage priorities, and drive results in a fast-paced environment.Financial Services Industry Expertise : Deep understanding of RIA operations, financial planning, and compliance structures.Compensation & Benefits
Competitive Base Salary (DOE – based on experience and qualifications).Performance-Based Bonus Structure, aligned with firm growth and operational efficiency metrics.401(k) Plan with Employer Contributions.Comprehensive Health & Benefits Package.PTO & Paid Holidays.Professional Development & Continuing Education Support.Take the Next Step
Apply today and help Stonebridge Wealth Systems achieve its ambitious growth goals.
Salary : $400
