Job Description

Primary Purpose:

The Director of Operations will be responsible for maintaining, developing and supporting the firm’s comprehensive business operations including standard operating procedures, and operational workflows across all departments including Human Resources, Finance, Cetera Advisor Networks (CAN), AdvisorNet Wealth Partners (AWP), AdvisorNet Insurance (ANI) and Benefits (ANB), Portfolio Partners and more. This role will plan, direct, supervise and coordinate work activities, while supporting the overall operational, budgetary, and financial responsibilities of the company.

Key Responsibilities and Essential Functions:

• Manage and lead a team responsible for overarching business operations, and operations workflows.
• Partner with the Chief Operating Officer and organizational leaders to strengthen, integrate, enhance and maintain systems data, data integrity, standard operating procedures, and workflow across all departments to support operational efficiency and business reporting.
• Develop and maintain department level SOPs while assuring implementation and ongoing use.
• Influence business results by providing strategic recommendations to enhance business operations.
• Cultivate and grow strong relationships with advisors and vendors across all business lines to support our value proposition and ensure service excellence to all advisors and clients.
• Lead and support corporate projects and initiatives, including the coordination with strategic partners and legal counsel.
• Other special projects and duties as assigned within functional/knowledge area.

People Management Responsibilities and Essential Functions:

• Hire, coach, mentor, and develop employees, including partnership with Human Resources for recruitment, job description development and new hire onboarding, training, and career development.
• Oversee the development and execution of employee’s performance that supports professional growth and achievement of individual and business objectives. Provide effective feedback through employee recognition, rewards, and disciplinary action, when necessary.
• Develop and execute the strategic department business plan, ensuring alignment with organization objectives which supports sustained growth. Manage department budgets including compensation review, ensuring fiscal responsibility.
• Maintain employee work schedules including assignments, time off, telecommuting, time and attendance, and if applicable, overtime scheduling.

Job Specifications:

• 5+ years of experience in the financial services industry in an operations or advisor transitions role, required.
• 3+ years of management experience, required.
• B.A. in business, finance, or related field.
• Experience with securities and investment advisory operations, systems and administration, preferred.
• FINRA licenses Series 7 and Series 66, required.
• FINRA license Series 24, preferred.
• Knowledge of SEC, FINRA, and state advisory, and insurance regulations.
• Strong user of technology, with knowledge or Salesforce, Office365 Suite, BlackDiamond, SmartOffice and Salesforce preferred.
• Up to 10% travel.
• Proven strong leadership skills, with knowledge of HR policy.
• Personable, approachable with a positive attitude in providing service excellence.
• Ability to work independently with effective time management, organization, and analytical and problem-solving skills.
• Strong and professional verbal and written communication skills. Active listener.
• Ability to manage multiple priorities and projects simultaneously, effectively resolve conflict, and mitigate risk for the business.
• Ability to maintain confidentiality, exercise discretion, make solid judgements and act with integrity, professionalism, and empathy. Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition and grammar.
• Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition and grammar.

competitive benefit package available

Job Tags

Similar Jobs