Director of Operations

SUMMARY:

The Director of Operations reports to the Managing Director, this position utilizes excellent customer service and problem-solving skills to confidently make sure the firm and staff provide information to clients in a timely, efficient, and professional manner. The Director of Operations is responsible for all client service, administrative and support functions of the firm, including the management of client service, support and administrative staff. This position oversees client account setup and data transfer with platform and products such as custodians, broker-dealers, and investment managers, for the purposes of new account setup, money movement, portfolio accounting, trading and performance reporting.

ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily:

• Manages all Client Service Administrators (CSAs)
• Hires and develops CSAs as needed and improves their performance and training
• Manages administrative assistants and the firm’s receptionist
• Coordinates and manages the workload of the administrative and support staff
• Manage the staff that is responsible for client needs regarding service, trading, and problem resolution in a timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards
• Maintain and oversee CRM database, work with staff to ensure they are keeping up with notes in database.
• Manage multiple and competing priorities on a daily basis in pursuit of business objectives
• Other responsibilities as assigned by the Managing Director
• Coach and develop team members; establish clear expectations, emphasizing accountability, conduct regular performance evaluations, and provide quality and timely feedback
• Serves as project manager on large projects that pertain to the firm’s space or administrative functions
• Participates in business planning meetings representing the administrative and support functions in the firm
• Train support staff as well as any new support staff

KNOWLEDGE, SKILLS, AND/OR ABILITIES: To perform this job successfully, individual should have the following skills and abilities:

• Management of individuals and teams
• Customer Service
• Vendor Management
• Advanced computer skills (Outlook, Word, Excel and PowerPoint) are essential
• Excellent communication skills, both verbally and in writing
• Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
• Ability to build relationships with clients and internal partners and influence others with or without direct control
• Experience with financial planning/reporting software preferred

SUPERVISORY RESPONSIBILITIES:

• Registered Associates
• Client Service team members

EDUCATION AND/OR EXPERIENCE:

• Bachelor’s degree in a business-related field preferred
• The ideal candidate will have 5+ years of experience in the financial services industry allowing for a good understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, mutual funds, annuities, insurance, and managed accounts
• Previous experience in the independent financial services culture preferred
• Management experience
• Customer service experience

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• Series 7 or 65/66 preferred