Director of Operations

Our client, a fee-based, Registered Investment Advisor (RIA) in South Carolina's low country with $1.5B in AUM, is hiring an Director of Operations to join their team. The firm's operational system in place is Entrepreneurial Operating System (EOS).

Operations are currently handled by the Founder, but will be handed off to the new Director of Operations.

• Experience working directly with Financial Advisors
• 5+ years of management experience in wealth management 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
• High level understanding of EOS with ability to follow and implement its methodology throughout the organization
• Team building. This person will be given a budget to build an operations team to support them in running the day to day operations
• Salesforce-type CRM (Red Tail) and Orion proficiency

• 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
• Technology implementation lead
• Provide operational reporting for all business operations
• Drive process improvements across the organization