Firm Operations Director
Position Overview-
Client is a well-respected financial advisory firm seeking an experienced and strategic Operations Director to lead and optimize the operational functions. This role will ensure efficiency, compliance, and scalability while enhancing client and advisor experiences. The ideal candidate has a strong background in financial services operations.
Company offers an excellent culture, career opportunity and a strong compensation and benefits package. Role is based in the greater Nashville, TN area.
Key Responsibilities-
Operations & Process Management
Oversee daily operations, ensuring smooth workflows across all departments.
Develop and implement process improvements to enhance efficiency and client experience.
Manage vendor relationships, including technology platforms, custodians, and service providers.
Compliance & Risk Management
Ensure the firm adheres to all regulatory and compliance requirements.
Maintain and enforce internal policies and procedures to mitigate risk.
Work closely with compliance teams to enforce policies and procedures, working to continually update compliance processes as needed.
Client Administration and Service:
Oversee client onboarding, account setup, and documentation processes to ensure a seamless experience.
Manage client account maintenance, transfers, and service requests with custodians and financial institutions.
Ensure timely and accurate processing of client transactions, distributions, and contributions.
Work with advisors to streamline administrative support and improve client engagement.
Manager CRM system regarding all operational activities related to clients.
Focus on continually improving processes and client experiences.
Financial Management
Oversee bill paying for the firm.
Coordinate client billing processes and manage payouts to advisors
Technology & Systems Management
Oversee the firm’s technology stack, including CRM, portfolio management software, and financial planning tools.
Lead system integrations and upgrades to enhance automation and data management.
Ensure cybersecurity best practices are followed to protect client and firm data.
Qualifications & Experience-
Bachelor’s degree in Business Administration, Finance, or a related field preferred
3+ years of experience in operations management within the financial services or wealth management industry.
Experience with financial advisory technology platforms (CRM, portfolio management, etc.)
Proven leadership and strategic planning skills.
Excellent problem-solving, communication, and project management abilities.
…
