Wealth Advisory Associate Director of Opertations
About Us:
They are a client-centric investment advisory firm dedicated to delivering tailored wealth management solutions with integrity, transparency, and excellence. Their team is composed of experienced professionals who value collaboration, innovation, and a commitment to helping clients achieve their financial goals.
Position Summary:
They are seeking a strategic and detail-oriented Associate Director of Operations to join their Wealth Advisory team. This leadership role is responsible for overseeing operational functions, enhancing service delivery, and supporting the growth and efficiency of our advisory practice.
Key Responsibilities:
- Lead and manage day-to-day operations across the wealth advisory division, ensuring seamless execution of client services and internal processes.
- Collaborate with advisors and leadership to implement operational strategies that support business growth and client satisfaction.
- Oversee onboarding, account maintenance, and custodial relationships to ensure accuracy and compliance.
- Develop and refine workflows, procedures, and technology systems to improve operational efficiency.
- Monitor regulatory compliance and ensure adherence to firm policies and industry standards.
- Manage vendor relationships and coordinate with custodians, technology providers, and other service partners.
- Provide mentorship and guidance to junior operations staff and client service associates.
Qualifications:
- 7+ years of experience in financial services operations, preferably within an RIA or wealth management firm.
- Proven leadership and project management skills with a track record of driving operational improvements.
- Strong understanding of investment advisory operations, custodial platforms, and compliance requirements.
- Excellent communication, organizational, and problem-solving abilities.
- Proficiency in CRM systems, portfolio management software, and Microsoft Office Suite.
- Bachelor's degree in finance, business, or related field; advanced degree or certifications (e.g., CFP®, CIMA®, Series 65) are a plus.
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