Director of Operations

Position Summary

The Director of Operations serves as the operational backbone of our financial planning practice, ensuring seamless day-to-day business functions, regulatory compliance, and an exceptional client experience. This senior leadership role partners directly with the Teams Managing Partners and Planners to drive growth, optimize workflows, and maintain the highest standards of service delivery.

KEY RESPONSIBILITIES:

Operations & Compliance

• Oversee daily operational processes and office administration to ensure efficient firm functionality

• Monitor and enforce adherence to SEC, FINRA, and state regulatory requirements

• Manage licensing, registrations, and continuing education tracking

Client Services

• Oversee onboarding workflows, account opening, and client documentation

• Resolve escalated client service issues with professionalism and urgency

• Ensure timely and accurate processing of account transfers, distributions, and transactions

Team & Practice Management

• Supervise administrative and operations staff; conduct performance reviews

• Identify and implement process improvements and technology enhancements

• Manage vendor relationships including custodians, broker-dealers, and software providers

• Prepare management reports, KPIs, and operational dashboards for the Principal Advisor

QUALIFICATIONS:

Education & Experience

• Bachelor’s degree in finance, Business Administration, or a related field required

• 5+ years of operations experience in a financial planning, RIA, or wealth management firm

• 2+ years in a supervisory or management capacity

Technical Skills

• Proficiency in CRM platforms (Redtail, Wealthbox, or Salesforce)

• Experience with financial planning software (eMoney, MoneyGuidePro, or similar)

• Familiarity with custodial platforms

• Strong command of Microsoft Office Suite and document management systems

Core Competencies

• Exceptional organizational skills with strong attention to detail

• High ethical standards and discretion with confidential client data

• Ability to manage competing priorities in a fast-paced environment

• Strong written and verbal communication skills