Job Details
Director of Operations to plan, organize, and control the daily operations of two separately-registered RIA firms. One firm is a multi-family office and the other firm oversees a mutual fund. Candidates must have previous experience at a financial services firm in a senior-level operations position.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
Plan, organize, and control the daily operations of two separately-registered RIA firms. One firm is a multi-family office and the other firm oversees a mutual fund.
Manage team members; establish clear expectations, emphasizing accountability, conduct regular performance evaluations, and provide quality and timely feedback
Ensure team is responding to client needs regarding service, trading, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards
Oversee new account setup, money movement, portfolio accounting, trading and performance reporting
Review account transactions daily to monitor trade requests placed, confirm deposits posted, transfers received, confirm client withdraw requests sent, etc.
Maintain and oversee CRM database
Manage firm s vendors
Other responsibilities as assigned by the CEO
Serves as project manager on large firm projects
Participates in business planning meetings
Work with Chief Compliance Office to ensure adherence to all regulatory compliance and risk-related requirements.
Contribute to the culture and values of the organization by introducing and maintaining initiatives and policies that support the firm s vision.
This position reports to the CEO of both companies
KNOWLEDGE, SKILLS, AND/OR ABILITIES:
Management of individuals and teams
Customer Service
Vendor Management
Advanced computer skills (Outlook, Word, Excel and PowerPoint) are essential
Excellent communication skills, both verbally and in writing
Strong time management and organizational skills
Ability to work independently and effectively manage multiple tasks at once
Ability to build relationships with clients and internal partners
Experience with financial planning/reporting software preferred
EDUCATION AND/OR EXPERIENCE:
Bachelor s degree in a business-related field preferred
Previous COO experience in the financial services industry is required.
7+ years overseeing operations within the financial services industry allowing for a good understanding of broker/dealer operations and financial services products
Familiarity with industry regulations and regulatory exams
Previous experience in the independent financial services culture preferred
Management experience
Candidate must be able to pass a background check
The firms are committed to a diverse and inclusive workplace. Each firm is an equal opportunity employer and does not discriminate on the basis of race, national origin, ethnicity, gender, gender identity, sexual orientation, veteran status, disability, age, or any other category protected by applicable federal, state or local law.