Director of Operations & Compliance Coordinator - Part Time

Job Description Coastal Virginia Wealth Group - Chesapeake Position Title: Director of Operations & Compliance Coordinator (Part-Time) Status: Part-Time (15-25 Hours Weekly) Location: Chesapeake, Virginia Reports To: Dan Neice, MBA, CFP®, Founder & Senior Wealth Consultant Position Summary Coastal Virginia Wealth Group - Chesapeake is seeking a highly organized, detail-oriented, and proactive Director of Operations & Compliance Coordinator to oversee the daily administrative, operational, and compliance functions of our growing wealth management and financial planning practice. This position serves as the operational backbone of the firm by ensuring that client service activities, compliance tasks, account processing, advisor support functions, office administration, and staff accountability requirements are completed accurately and on time. The ideal candidate will possess strong organizational skills, leadership abilities, technology proficiency, and a commitment to maintaining the highest standards of client service and regulatory compliance. The Director of Operationsis expected to independently track tasks, follow up on outstanding items, identify operational risks, and ensure that no critical responsibilities fall through the cracks. Experience with LPL Financial systems and tools are a plus. Primary Responsibilities Compliance & Regulatory Oversight (30%) Maintain office compliance calendars and deadlines. Monitor completion of required compliance tasks. Ensure ClientWorks documentation and account records are current and complete. Review client files for accuracy and completeness before submission. Coordinate regulatory audits, compliance reviews, and examinations. Track annual compliance certifications and required firm training. Assist with implementation of firm policies and procedures. Maintain records retention systems. Help administer the firm's Business Continuity Plan and annual reviews. Escalate compliance concerns immediately to firm leadership. Operations Management (25%) Oversee daily office operations and workflow management. Maintain task tracking systems and accountability procedures. Monitor completion of staff responsibilities. Conduct weekly operational status reviews. Coordinate vendor relationships and office service providers. Maintain operational manuals and process documentation. Track key business deadlines and recurring responsibilities. Verify completion of account processing activities. Client Service Administration (20%) Monitor outstanding client requests. Oversee scheduling and coordination of client meetings. Ensure Annual Client Advisory Reviews are completed and documented. Manage client service workflows. Review client correspondence for consistency and professionalism. Assist with onboarding new clients. Coordinate follow-up activities after client meetings. Staff Accountability & Project Management (15%) Maintain accountability systems for all staff members. Conduct weekly task reviews. Track due dates and project completion. Ensure recurring responsibilities are completed timely. Prepare productivity and workflow reports for firm leadership. Identify bottlenecks and recommend process improvements. Follow up with team members regarding incomplete work. Office Administration (10%) Manage office supplies, facility issues, and vendor services. Coordinate technology support with outside providers. Maintain contact lists and emergency procedures. Assist with event planning and educational workshops. Support community outreach initiatives and client appreciation events. Qualifications Required 3+ years of office management, operations, compliance, financial services, or business administration experience. Exceptional organizational skills and attention to detail. Strong written and verbal communication abilities. Ability to manage multiple priorities simultaneously. High level of professionalism and confidentiality. Proficiency with Microsoft Office 365. Experience maintaining records and documentation systems. Preferred Experience working in a: Regi #J-18808-Ljbffr Coastal Virginia Wealth Group - Chesapeake