Director of Operations

The Director of Operations is responsible for helping The Goff Financial Group operate efficiently, consistently, securely, and professionally while supporting our high standard of client service. The role combines day-to-day operational leadership with systems and process improvement, human resources administration, risk coordination, vendor and office management, and management reporting.

The position also helps the company attract, develop, retain, and manage employees in a manner that supports business goals, protects clients, maintains regulatory standards, and promotes a professional and ethical workplace culture. The Director works closely with senior management, compliance, advisory personnel, administrative staff, internal IT teams and external IT vendors and other service providers.

Primary Responsibilities

1. Firm Operations and Client Service:

• Oversee day-to-day administrative and operational activities and help ensure the firm operates efficiently and consistently.
• Ensure recurring operational tasks and client-service deliverables are completed accurately and on schedule.
• Coordinate workflows between advisory and administrative staff and clarify ownership of recurring operational responsibilities.
• Maintain calendars for recurring firm-wide processes, deadlines, reporting cycles, and client deliverables, including quarter-end reporting.
• Monitor outstanding operational items, identify bottlenecks, and coordinate timely resolution of problems and exceptions.
• Serve as a primary point person for operational questions and help establish consistent service and follow-up standards.

2. Compliance, Cybersecurity, and Risk Administration:

• Regulatory coordination. Work with the compliance officer to track employee licensing, registrations, continuing education, renewals, and required documentation where applicable.
• Employee compliance administration. Coordinate employee disclosures, policy acknowledgments, required training, and documentation related to ethics, conflicts of interest, confidentiality, personal trading, client information, and business conduct.
• Hiring and separation controls. Coordinate with compliance and management on screening, licensed or supervisory roles, employee departures, and related regulatory or internal documentation.
• Employment and operational risk. Maintain appropriate documentation for hiring, discipline, compensation, leave, accommodations, terminations, employee complaints, and other matters that may create regulatory, employment, or operational risk.
• External resources. Coordinate with outside counsel, compliance consultants, HR advisors, insurance providers, or other specialists when issues require additional expertise.
• Regulatory Filings and Notifications: Ensure completion of quarterly 13F filings and the Annual Compliance Review. Work with the Compliance Officer on annual filings and notifications including the annual ADV Part 1 and Part 2 updates. and Annual Privacy Notice.

3. Systems, Technology, and Process Improvement:

• Workflow design and documentation. Document existing workflows and develop and maintain standard operating procedures for recurring processes.
• Process improvement. Identify inefficient, repetitive, or manual processes and recommend ways to simplify, standardize, or automate them.
• Technology-enabled operations. Improve the use of Excel, CRM, SharePoint, reporting tools, workflow systems, and other firm technology.
• Quality control. Establish checklists, review procedures, and quality-control standards that reduce errors, duplicate data entry, and unnecessary administrative work.
• Technology implementation. Coordinate with internal resources, IT providers, and vendors on technology implementations, upgrades, troubleshooting, and user adoption.
• Technology evaluation. Help senior management evaluate new software, automation opportunities, and technology solutions that can improve efficiency, security, scalability, or service quality.

4. Human Resources and Personnel Administration:

• Recruiting and hiring. Manage recruiting for open positions, including job postings, candidate screening, interview coordination, reference checks, background checks, hiring documentation, and employment offers.
• Onboarding. Manage new-hire onboarding, including offer letters, employment agreements, policy acknowledgments, tax forms, benefits enrollment, orientation, system-access requests, and coordination of required training.
• Employee records. Maintain personnel files, employment documentation, job descriptions, organizational charts, leave records, and other required HR records.
• Employee relations. Serve as a primary point of contact for employee questions, workplace concerns, interpersonal issues, and policy interpretation; coordinate investigations and documentation when necessary.
• Performance management. Administer the performance-review process and support managers with expectations, coaching, corrective action, performance improvement plans, promotions, role changes, and succession planning.
• Compensation and payroll. Coordinate salary changes, bonuses, incentive plans, payroll updates, time-clock adjustments, and compensation-related documentation with management and payroll providers.
• Benefits administration. Evaluate and coordinate health insurance policies and annual renewals.Coordinate employee benefit programs including retirement plans, PTO, leave programs, benefit enrollment, and employee questions with benefits providers and insurance carriers. Working with the retirement plan administrator, complete and file on a timely basis, required forms and materials.
• Policies and training. Maintain the employee handbook and HR policies; coordinate required workplace, confidentiality, cybersecurity, compliance, and firm-specific training and policy acknowledgments.
• Employee offboarding. Manage resignations and terminations, including documentation, final-pay coordination, benefit notices, exit interviews, return of firm property, and coordination of system-access removal.
• Workplace culture. Promote a respectful, professional, ethical, accountable, and client-focused workplace culture.
• Payroll. Process payroll for each pay period.

5. Financial, Vendor, and Office Administration:

• Vendor management. Manage relationships with major service providers and maintain contracts, renewal dates, service terms, and key vendor documentation.
• Technology and subscriptions. Maintain an inventory of major technology systems, subscriptions, licenses, equipment, and related renewal requirements.
• Payroll and benefits providers. Serve as an administrative liaison with payroll providers, benefits providers, insurance carriers, and other HR vendors.
• Office administration. Coordinate office facilities, supplies, equipment purchases, and other routine administrative needs.
• Insurance and renewals. Coordinate insurance renewals and other recurring administrative contracts and assist management with routine vendor negotiations and cost review.

6. Management Reporting and Special Projects

• Management reporting. Provide senior management with concise updates on significant operational issues, staffing matters, client-service backlogs, projects, vendor concerns, and upcoming deadlines.
• Operational metrics. Help establish and track practical measures of timeliness, quality, errors, exceptions, workload, and completion of recurring responsibilities.
• Project coordination. Coordinate cross-functional operational, HR, technology, compliance, and administrative projects and maintain accountability for assigned action items.
• Special projects. Support senior management with planning, research, implementation, and other projects that improve the firm’s operating capabilities or support business goals.

Required Qualifications

• At least five years of progressive human resources and/or operations experience, ideally within financial services or another regulated industry.
• At least three years of supervisory, HR management, or operations management experience.
• Bachelor’s degree in Human Resources, Business Administration, Finance, Accounting, Management Information Systems or a related field preferred.
• Strong working knowledge of recruiting, onboarding, employee relations, performance management, compensation, benefits, payroll coordination, employment documentation, and HR policies.
• Familiarity with employment-law requirements and sound HR practices, with the judgment to involve outside counsel or specialists when appropriate.
• Ability to handle confidential client, employee, and firm information with professionalism and discretion.
• Strong written and verbal communication, organization, documentation, and problem-solving skills.
• Ability to work collaboratively with senior management, compliance, advisory personnel, administrative staff, and outside service providers.

Preferred Qualifications

• Strong technology and business-systems aptitude, including advanced proficiency with Microsoft Excel and Microsoft 365; working knowledge of SharePoint and data-management systems; and the ability to learn, maintain, and improve technology-enabled workflows and automation tools. Experience with Power Query, Power Automate, Excel VBA/macros, Power BI, SQL, Python, or similar data and automation tools is preferred.
• HR certification such as SHRM-CP, SHRM-SCP, PHR, or SPHR.
• Experience with registered investment advisers, broker-dealers, banks, trust companies, insurance agencies, wealth management firms, or another regulated financial-services organization.
• Familiarity with SEC, FINRA, state insurance, banking, or related regulatory environments.
• Experience supporting employee licensing, continuing education, Form U4/Form U5 coordination, or employee disclosure processes.
• Experience with payroll systems, HRIS platforms, benefits administration, employee training systems, CRM platforms,and workflow or automation tools.

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