Director of Operations - Wealth Management

Talent Link Solutions • Carlsbad, CA

386d • $130,000 - $150,000

About The Position

The Director of Operations at TalentLink Solutions is a pivotal role within a high-growth financial planning and investment management firm. This position is responsible for ensuring exceptional team and client experiences, optimizing technology, and providing leadership across various operational functions. The Director will collaborate closely with the CEO to implement the firm's vision, manage team dynamics, and oversee compliance and technology management, all while fostering a culture of trust and integrity.

Requirements

• Bachelor's or advanced degree in business administration or related field.
• Minimum 5 years' experience with independent registered investment advisor or broker-dealer.
• Minimum 5 years' experience in operations/client service management role.
• Has or willing to obtain Series 65 license (required for compliance duties).
• Excellent verbal and written communication skills.
• Superior knowledge of financial services, including industry regulations and legislative guidelines.
• Technology savvy, proficient with Microsoft Office, can easily learn new software.
• Familiarity with Schwab systems ideal.
• Compliance, investment trading, and/or financial planning experience ideal.
• Knowledge of EOS preferred.
• Ability to streamline and implement new processes and team members' roles to enhance efficiency, effectiveness, and accuracy, and support rapidly shifting business demands.
• Team player - humble, hungry, and smart; willing to fill in for others' duties when needed.
• Open to feedback, driven to continually learn, improve, and grow themselves and the company.
• Not afraid to make decisions and learn from mistakes; empowers others to make decisions.
• Excellent leadership skills; successful at training, delegating, and holding others accountable.
• Accomplished communicator able to express concerns, frustrations, have tough conversations, and provide honest feedback in a respectful manner, even when it's hard to give.
• Ability to diagnose problems quickly and proactively determine creative solutions.
• Respectful, loyal, excellent listener, honest, and inspires trust in others.
• Charismatic, genuinely loves people, good sense of humor, knows how to have fun at work while still being productive.
• Organized, disciplined, excellent time management to prioritize many projects simultaneously.

Nice To Haves

• Familiarity with Schwab systems ideal.
• Knowledge of EOS preferred.

Responsibilities

• Ensure excellent team experience for all, managing down and up.
• Evaluate performance and training/resource needs for each team member; ensure Trainual is current.
• Conduct 1:1 meetings with all team members and debrief with CEO.
• Manage daily tasks in order of priority and allocate based on capacity of each team member.
• Facilitate communication, accountability, and efficiency between Advisors and Operations Team.
• Handle all employee issues, including hiring, training, coaching, clarifying roles and expectations, performance reviews, salary and bonus recommendations, managing PTO, performance improvement plans, and terminations.
• Oversee the planning of periodic team-building events and activities, as well as meaningful surprise acknowledgments, perks, and gifts.
• Help prepare for and facilitate team quarterly planning sessions and annual retreats based on EOS model.
• Ensure excellent, consistent client experience based on company mission and values.
• Oversee client communication, meeting prep, post-meeting action items, financial planning data input, portfolio trading/rebalancing, money movement, and account paperwork processes.
• Ensure quarterly reports are accurate and sent to all clients by the 7th day of each new quarter.
• Provide backup client service as necessary (answering phones, trading, paperwork, etc.), take final responsibility for difficult issues other team members cannot resolve.
• Help plan periodic client events and meaningful surprise gifts.
• Support various new business initiatives like social media platforms, Facebook ads, email drip marketing campaigns, and coordination of classes.
• Oversee and manage Padres tickets; distribution to clients and internal team.
• Continually train operations and advisory teams on compliance issues.
• Ensure compliance with company policies and procedures.
• Develop/implement new compliance procedures as needed, including cybersecurity initiatives.
• Serve as primary point of contact with compliance consultants.
• Ensure timely completion and filing of all required compliance documents and submission of registration fees.
• Manage and own our CRM accuracy, usage, reporting, and continued development of templates, workflows, and any other automation.
• Manage and own how firm leverages Orion and integrates with additional technologies, to identify the most efficient processes.
• Manage several inboxes for monitoring and assigning tasks.
• Ongoing maintenance and improvement of the website.
• Manage blog, YouTube channel, and newsletters, leveraging partners as needed.
• Primary contact for any issues that arise from phones, copiers, or any other systems utilized throughout the firm.
• Continuously monitor technology for our industry to determine if there are opportunities to layer on and improve our systems, or potentially to shift to new technologies entirely.
• Ensure quarterly fee billing is accurately completed on the first business day of each quarter.
• Review expenses at least monthly and discuss budget report observations with CEO.
• Evaluate performance, further improve and integrate, hold accountable, negotiate fees and terms, and act as primary contact with all vendors.
• Head up special projects and additional responsibilities from time to time as needed.

Benefits

• 401(k) with company match
• Profit sharing
• Employer paid medical insurance
• Paid time off (20 days to start plus 1 additional day for the first 5 years)

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Administrative and Support Services
• Education Level: Bachelor's degree