Associate Director, Investment Operations

EP Wealth Advisors•Torrance, CA

2d•$108,000 - $120,000

About The Position

The Associate Director, Investment Operations leads EP Wealth Advisors' Investment Operations team and oversees operational functions supporting portfolio management, trading, account administration, and investment-related services across the organization. The role provides strategic leadership and operational oversight to ensure efficient workflows, strong internal controls, data integrity, and consistent service delivery. The successful candidate will develop high-performing teams, drive operational improvements, and support the firm's growth. The role works closely with Portfolio Management, Advisors, Client Service, Trading, Billing, Compliance, Technology, and other stakeholders to resolve complex issues, enhance processes, and strengthen investment-related operational capabilities.

Requirements

Minimum of 7 years of progressive experience in investment operations, portfolio operations, trading operations, or investment data management within financial services.
Minimum of 3–5 years of leadership or supervisory experience.
Strong understanding of portfolio management systems, investment operations, reconciliation, custodial integrations, data management, and related operational workflows.
Experience establishing operational controls, quality assurance processes, exception management procedures, and scalable workflows.
Demonstrated ability to lead teams, develop talent, manage complex priorities, and execute process-improvement and technology initiatives.
Strong strategic thinking, analytical, organizational, project management, and problem-solving skills, with exceptional attention to detail.
Excellent communication and relationship-management skills, with the ability to influence stakeholders and lead cross-functional initiatives.
Advanced proficiency with Microsoft Office, particularly Excel, Word, and Outlook.

Nice To Haves

Bachelor's degree, preferably in Business, Finance, Economics, Accounting, Information Systems, or a related field.
Leadership or supervisory experience within an RIA, asset management, or wealth management environment.
Experience with Tamarac, GeoWealth, Salesforce, Schwab Advisor Center, Fidelity Wealthscape, Pontera, or other RIA technology platforms.

Responsibilities

Lead, coach, and develop the Investment Operations team, fostering accountability, collaboration, and continuous improvement.
Oversee daily departmental operations, set priorities, allocate resources, and monitor performance to ensure timely, accurate, and efficient execution.
Evaluate team structure, workflows, and capabilities to improve organizational effectiveness and support growth.
Establish and maintain operational standards, policies, procedures, and service-level expectations.
Act as an escalation point for complex operational issues and guide effective resolution.
Oversee workflows supporting portfolio management, trading, account administration, reconciliation, custodial integrations, and related investment activities.
Ensure portfolio and account-level data accuracy, completeness, and integrity through operational controls, quality assurance, and exception management.
Identify and resolve recurring operational and data-related issues through root-cause analysis, process improvements, and corrective actions.
Maintain an understanding of portfolio management systems, data flows, and operational dependencies supporting investment management, client reporting, billing, and other business functions.
Work with internal stakeholders and third-party vendors to address system challenges, improve data reliability, and enhance operational effectiveness.
Identify and implement process improvements, automation opportunities, and efficiencies that improve accuracy, service delivery, and scalability.
Lead operational initiatives involving system enhancements, technology implementations, business integrations, and strategic projects.
Establish and monitor key performance indicators, quality measures, and service-level metrics.
Partner with stakeholders to improve processes and controls supporting portfolio data, client reporting, billing, and compliance-related activities.
Recommend operational priorities, resource needs, technology capabilities, and ways to strengthen operational infrastructure.
Ensure adherence to firm policies, regulatory requirements, procedures, and operational standards.
Identify and mitigate operational risks related to investment processes, data integrity, system workflows, and internal controls.
Develop and maintain documentation, training materials, and quality assurance procedures.
Support compliance reviews, audits, and other risk management activities related to investment operations.