Ascendo Resources
1 day ago Be among the first 25 applicants
The Director of Operations is responsible for driving operational efficiency, mitigating risk, and supporting the scalability of a wealth management platform. This role ensures a seamless client experience while maintaining compliance with industry regulations and supporting overall profitability. The Director oversees all operational resources, including back-office and onboarding services, while implementing strategies to optimize processes, establish performance metrics, and maintain best practices across the organization.
Key Responsibilities
Client Services & Operations Management
Develop and execute operational strategies to deliver an exceptional service experience to clients.
Oversee day-to-day activities within the operations team, ensuring processes and tasks are completed accurately and on schedule.
Identify and implement new technologies, tools, and procedures that reduce costs and improve efficiency.
Establish and monitor operational metrics, driving accountability and service-level improvements.
Act as escalation point for operational issues, ensuring timely and effective resolution.
Maintain and regularly update the Operations Manual to reflect current processes and compliance standards.
Ensure adherence to regulatory requirements across all operational tasks and procedures.
Collaborate on business continuity planning to minimize downtime and operational risk.
Participate in evaluations of new business initiatives and advisor onboarding presentations to ensure alignment with capabilities.
Conduct regular staff meetings to review priorities, address workload distribution, and provide operational updates.
Lead special projects related to client services, due diligence, and process enhancements.
Manage organizational structure and staffing to support departmental goals.
Oversee hiring, training, and professional development of operations personnel.
Conduct performance evaluations, provide coaching, and support career progression within the team.
Partner with Human Resources to ensure compliance with policies and foster a strong, collaborative work environment.
Act as an ambassador for the client experience, working closely with leadership to reinforce the company’s service standards.
Requirements
Bachelor’s degree in Business Administration or related field.
10+ years of industry experience within a broker dealer, RIA, or relevant wealth management institution.
FINRA licenses required: Series 7, 66, and either Series 9/10 or 24.
Seniority level
Seniority level Director Employment type
Employment type Full-time Job function
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Seniority level Director Employment type
Employment type Full-time Job function
Job function Administrative and Finance Industries Banking and Financial Services Referrals increase your chances of interviewing at Ascendo Resources by 2x Inferred from the description for this job
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Miami, FL . Fort Lauderdale, FL $90,000.00-$135,000.00 2 months ago Fort Lauderdale, FL $120,000.00-$160,000.00 1 month ago Miami, FL $80,000.00-$120,000.00 6 days ago Miami, FL $110,000.00-$160,000.00 1 week ago Miami, FL $120,000.00-$150,000.00 1 day ago Director, Operations Transformation, Popeyes Louisiana Kitchen, US&C
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