DIRECTOR OF OPERATIONS

Director of Operations Boulder County, Colorado

Based in Boulder County, Colorado, our client is a well-established Registered Investment Advisor (RIA) with over 55 years of experience.

They specialize in providing a comprehensive range of financial products and services to individuals and businesses. Their offerings include investment management, retirement planning, tax planning, estate planning, and insurance solutions.

Committed to helping clients achieve their financial goals through personalized strategies and expert advice, the firm is experiencing growth and is currently seeking a talented and experienced Director of Operations to lead their client service department.

Responsibilities :

Ensure the firm complies with all relevant financial industry regulations and laws by staying updated on regulatory changes, implementing effective compliance procedures, and conducting regular audits

Develop and implement processes and procedures to streamline operations and increase efficiency. This includes automating tasks, improving communication channels, and optimizing resource allocation

Oversee the technology infrastructure, including software systems used for portfolio management, client communication, and reporting

Select new technology solutions and ensure existing systems are properly maintained and updated

Collaborate with client service teams to ensure clients receive high-quality service and their needs are effectively addressed

Resolve client inquiries, managing client onboarding processes, and overseeing client communications

Identify and mitigate operational risks that could impact the firm's operations or clients by implementing internal controls, monitoring for potential risks, and developing contingency plans

Manage relationships with third-party vendors and service providers that support the firm's operations

Generate reports and conduct analysis to track key performance metrics and identify areas for improvement by analyzing operational data, monitoring financial performance, and preparing reports for senior management and regulatory authorities

Ensure the client service team is equipped and trained to provide high-quality service and efficiently execute firm processes and procedures

Monitor the team's performance and conduct regular performance reviews

Requirements : Bachelor's degree

Bachelor's degree

7+ years of experience in the financial services industry specifically within an RIA

Current operations / compliance experience with previous advisor experience preferred

Proven experience in a leadership capacity, with ability to motivate / manage individuals and teams

Technologically savvy; forward thinking with ability to update / implement new software within the firm

Ability to produce good results with proper risk management; strong compliance record in previous positions

Ability to manage multiple priorities in a fast-paced environment and adapt to change

Well organized and detail-oriented

Demonstrated knowledge of Windows, Microsoft Office software, CRM management and cloud storage

The target base salary for this role is between $80-120k annually plus bonus. This figure can vary depending on factors such a skillset and experience level.