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RIA Operation Manager
2 months ago
Position Overview:
We are seeking a dynamic and experienced Operations Manager to enhance our team. This critical role involves overseeing operational efficiency, managing key processes and systems, and leading personnel to drive growth while upholding high standards of excellence. This position offers a significant opportunity to contribute to the success of a thriving financial advisory firm and positively impact clients' financial well-being.
Key Responsibilities:
Operational Efficiency: Lead the development and optimization of operational processes and procedures to increase efficiency, streamline workflows, and boost productivity. Identify areas for improvement and implement solutions to achieve operational excellence.
Compliance and Regulatory Oversight: Ensure adherence to relevant regulatory requirements, including SEC rules and internal policies. Stay informed of regulatory changes and adjust operations as needed to maintain compliance.
Technology Management: Oversee the firm's technological framework, including software systems and cybersecurity measures. Evaluate and integrate technological solutions to enhance operational efficiency, secure data, and improve client interactions.
Client Onboarding and Service Delivery: Manage the client onboarding process to ensure a seamless experience for new clients. Collaborate with client service teams to deliver exceptional service and address inquiries promptly and professionally.
Risk Management: Identify and address operational risks. Implement controls to safeguard firm assets, ensure data integrity, and maintain client confidentiality.
Vendor and Third-Party Relationships: Manage interactions with vendors and third-party providers. Ensure compliance with service level agreements and handle contract negotiations.
Team Leadership and Development: Lead the operations team, fostering a culture of accountability and continuous improvement. Mentor team members to enhance skills and capabilities.
Qualifications:
- Bachelor's degree in finance, business administration, or a related field. An advanced degree or relevant certifications (e.g., CFA, CFP, CAIA) is preferred.
- Experience with industry software platforms such as Orion, Money Guide Pro, and Microsoft 365.
- Proven track record in operations management within the financial services industry, preferably within an RIA or wealth management firm.