Director of Operations - Broker Dealer

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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

• Job function

  Administrative and Finance

• Industries

  Banking and Financial Services

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

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