Director of Operations

Key Responsibilities Operations & Process Management Design, implement, and continuously improve operational processes across client onboarding, account servicing, trading support, and ongoing relationship management Identify inefficiencies and lead process improvement initiatives that enhance accuracy, speed, and client experience Develop and maintain standard operating procedures and internal playbooks across operations, client service, HR, and delegated compliance workflows Coordinate operational readiness for firm growth, advisor onboarding, client transitions, and complex account structures Human Resources & People Operations Own day-to-day HR administration for the firm, including recruiting coordination, offer and onboarding packages, I-9 / employment eligibility, and new-hire orientation Maintain personnel files, job descriptions, organizational charts, and employment records in accordance with firm policy and applicable law Administer benefits enrollment, leave tracking, PTO, workers’ compensation notices, and coordination with payroll and benefits vendors Support performance-management cadence: goal setting, mid-year and annual reviews, documented coaching, and performance improvement plans in partnership with leadership Coordinate compensation administration (salary changes, bonus processing inputs, licensing stipend / CE reimbursement tracking) with firm principals Oversee workplace policies and the employee handbook; recommend updates for consistency with Ohio employment law, firm culture, and advisory‑industry expectations Serve as first-line contact for employee relations matters; elevate sensitive issues (harassment, discrimination, wage disputes, separations) to firm leadership and outside counsel as directed Manage offboarding: access revocation checklists, equipment return, final pay coordination, COBRA / benefit notices, and knowledge‑transfer documentation Coordinate background checks, fingerprinting, Form U4 / U5 support, and other pre‑employment or registration steps required for licensed and unlicensed staff Track required training completion (compliance, cybersecurity, AML, workplace harassment, and firm‑specific modules) and report exceptions to leadership and the CCO Support a consistent culture of accountability, professional development, and client‑first service across operations and client‑service staff Compliance Oversight — Delegated Functions The Director of Operations serves as a designated operations and supervision delegate under the CCO. The CCO retains ultimate responsibility for the compliance program, Form ADV, and regulatory examinations. Delegated duties include: Execute assigned elements of the firm’s Written Supervisory Procedures (WSPs) and Compliance Manual, including operational testing, evidence collection, and exception logging Oversee operational aspects of audits, regulatory exams, internal reviews, and mock exams; assemble document production, interview logistics, and post‑exam remediation trackers Maintain supervision and recordkeeping practices: books‑and‑records inventory, retention schedules, email / archive integrity, and vendor SOC / confidentiality documentation Administer operational compliance workflows such as new‑account documentation completeness, CIP / AML checklist review, trusted‑contact capture, and household / related‑account coding Coordinate advertising and marketing operational review intake (submit materials to CCO or designated reviewer; track approvals, version control, and use of approved content) Support personal trading / code‑of‑ethics administration: collect attestations, hold‑period acknowledgements, and gift‑and‑entertainment logs; elevate exceptions to the CCO Monitor operational red flags (unsigned documents, stale KYC, failed systematic reviews, vendor outages affecting books and records) and elevate promptly Assist with Form ADV / CRS operational data gathering Coordinate cybersecurity and vendor‑risk operational controls: access reviews, MFA enforcement, incident‑response playbook drills, and third‑party due‑diligence files Maintain the compliance calendar for recurring operational tasks (annual attestations, privacy notices, disaster‑recovery tests, branch / office inspections if applicable) Document delegated activities sufficiently for CCO review, annual compliance program assessment, and examination readiness Do not independently interpret novel regulatory questions, amend the Compliance Manual, or sign regulatory filings unless specifically authorized in writing by the CCO or firm principals Manage and optimize the firm’s technology stack (CRM, portfolio management, financial planning software, document management, HRIS / payroll tools, and compliance archives) Evaluate, implement, and train staff on new tools that improve efficiency, client service, HR administration, and compliance evidence capture Serve as the primary internal point of contact for technology, HR, and operations vendors and integrations Maintain user‑access provisioning and deprovisioning tied to hire / role‑change / termination events Supervise and develop operations, client service, and administrative team members; participate in hiring decisions for those roles Foster a culture of accountability, continuous improvement, and client‑first service Coordinate cross‑functional workflows among advisors, operations, compliance, and leadership Set clear service‑level expectations and coaching plans for direct reports Client Experience & Service Excellence Ensure consistent, high‑quality service delivery across the client lifecycle Monitor key operational metrics and service levels; proactively address issues Support special projects related to client transitions, complex account structures, and firm growth initiatives Provide operational, HR, and delegated‑compliance reporting and insights to firm leadership and the CCO Assist with budgeting, vendor management, and cost control related to operations, technology, and people programs Support data integrity and reporting used for client reviews, payroll / benefits, and internal decision‑making Qualifications Required Bachelor’s degree in Business, Finance, Human Resources, or a related field Progressive experience in operations within wealth management, RIA, brokerage, or financial services Demonstrated experience administering HR functions (onboarding, benefits coordination, employee relations, performance process) in a professional‑services setting Strong understanding of RIA operations, client‑service workflows, and the distinction between delegated compliance execution and CCO accountability Proven experience leading teams and driving process improvement Excellent organizational, communication, documentation, and problem‑solving skills High attention to detail and ability to manage multiple priorities in a fast‑paced, confidential environment Preferred Experience with common wealth‑management platforms Series 65, Series 24, or equivalent working knowledge of advisory and supervisory regulations Prior experience supporting firm growth, technology implementations, M&A / operational integrations, or exam readiness Project management experience and/or HR certification or compliance operations background Familiarity with Ohio employment practices and multi‑state remote‑staff considerations Personal Attributes Client‑centered mindset with a strong service orientation Proactive, solutions‑focused, and comfortable taking ownership Collaborative leader who builds trust across teams Discretion and professionalism in handling sensitive client, employee, and firm information Clear judgment about when to act, when to document, and when to elevate to the CCO or principals Competitive base salary commensurate with experience Performance‑based annual bonus Comprehensive health, dental, and vision insurance 401(k) retirement plan with company match Generous paid time off and paid holidays Professional development and continuing education support Location: Hudson / Akron, Ohio area (hybrid flexibility may be available depending on firm needs) Reports to: Firm leadership / Managing Principal (compliance delegated work directed by and reported to the CCO) Direct reports: Operations, client‑service, and administrative staff as assigned This position description describes typical duties and is not an employment contract. Responsibilities may be adjusted to meet firm needs. Delegated compliance authority is limited to the functions listed above and any written designation issued by the CCO. #J-18808-Ljbffr