Our client, a Registered Investment Advisor (RIA) in The Woodlands area with $10M+ in annual revenue, is hiring an Director of Operations to join their team.
Operations are currently handled by the Founder and CEO, but will be handed off to the new Director of Operations.
This firm historically has had a 20% YOY growth, with the last few years far exceeding that.
Required Experience:
- Experience working directly with Financial Advisors
- Bachelor's degree
- 5+ years of management experience in the financial services industry with a keen focus on operations
- Deep understanding of financial services industry as it relates to Independent Financial Advisors and RIAs
- Demonstrated excellence in optimizing operational processes
- Solid understanding of investment and financial planning management concepts
- Up-to-date on SEC compliance
Responsibilities: (in part)
- Deliver investment operations' daily, monthly, and annual activities, including account management and SEC compliance
- Oversight and management of the transition and onboarding process of new Financial Advisors to the wealth management firm
- Report to the CEO
- Supervise and train new team members, which includes conducting performance appraisals and disciplinary meetings as needed
- Deliver investment operations' daily, monthly, and annual activities, including account management and SEC compliance
- Provide operational reporting for all business operations
- Drive process improvements across the organization
Compensation: $100,000-$125,000 + bonuses tied to KPI's