Director of Client Services

Role Summary

The Director of Client Services leads and scales the firm’s client service and operations function, transitioning it from an execution-heavy model to a system-driven, automation-enabled department. This role owns the end-to-end client operations experience, develops the operations team, and partners with leadership to deliver a technology-leveraged, team-based firm model.

This is a leadership role accountable for results through people, process, and systems—not personal execution. While some tactical work will occur initially, the long-term focus is on strategy, team development, and operational scalability.

Qualifications

Required

• Exceptional organization, follow-through, and strong, tactful communication
• 5+ years in operations, including 3+ years in team leadership
• Ability to document, improve, and scale processes
• Proficiency in CRM, workflow, and project management systems
• Must obtain Series 7, 66 (or 65/63), Life & Health licenses within 12 months

Preferred

• CFP® (or in progress)
• Experience in RIA, broker-dealer, or hybrid environments (LPL preferred)
• Familiarity with LPL systems, compliance, and operational frameworks
• Experience leading operational transformation initiatives
• Exposure to AI/automation tools

Core Responsibilities

Leadership & Team Development

• Lead, coach, and grow the Client Operations team
• Drive a client-first, service-focused team culture
• Oversee hiring, onboarding, and performance management

Process & Systems

• Own all operations processes, SOPs, and workflow optimization
• Drive continuous improvement and operational scalability
• Maintain a structured process and workflow library

Compliance

• Lead operational compliance and serve as primary liaison with LPL
• Ensure audit readiness and adherence to regulatory standards
• Monitor, escalate, and mitigate compliance risks

Strategic Partnerships

• Manage key vendor and partner relationships
• Support succession planning and external partnerships
• Represent operations in external and industry engagements

Client Operations Oversight

• Ensure timely task execution, workflow accuracy, and service standards
• Maintain high-quality, low-error client operations
• Oversee transaction workflows, cash management, and activity tracking

Client Experience

• Own and elevate the end-to-end client operations journey
• Drive a “white-glove” service standard

Technology & Automation

• Lead adoption of operations technology and AI tools
• Identify and implement automation opportunities
• Oversee training and change management initiatives

Success Metrics (KPIs)

Operational Performance

• ≥90% adherence to operational standards
• 95%+ implementation of client action items within 90 days
• Zero material compliance issues

Team & Leadership

• 100% voluntary retention of operations staff
• Full SOP documentation across all processes within year one