Director, RIA Operations role in Overland Park, KS - Carbon Hill, United States - HIFON Group

Description

Director, RIA Operations role in Overland Park, KS

We are a growing, full-service wealth management firm with a 40-year history of helping clients.

We are launching our Overland Park, KS RIA in 2022 and have all the excitement and opportunity that comes with that entrepreneurial experience.

If you enjoy building processes, working on technology platforms, building custodian relationships and overall just making an impact, then our firm is looking for you We have several large-producing advisors that are excited about this transition.

They will need support with the shift from B/D to RIA mindset, capabilities, processes, and more. Our firm culture is a blank slate right now and we are eager to begin building a remarkable company

The Director, RIA Operations is a firm leader who will oversee daily activities and coordinate all department processes, procedures and protocols, with an eye towards continual improvement.

In our early days, as we begin to drive adoption, you will personally be responsible for routine tasks like client billing, management of our tech stack, and daily operational needs.

You will assist in hiring and training all new operations employees. You will supervisor and mentor them using weekly meetings, ongoing development discussions and annual employee evaluations.

As our RIA expands and for the right person, the intention of this role is to be the primary liaison between firm management and the operations team.

The long-term vision is this person managing several teams and evolving to a COO role.

Back-office operations accountabilities include:
Play critical role in establishment of firm infrastructure and strategic growth philosophy
Develop and maintain research, institutional, and vendor relationships to enhance investment advisory platform to meet the objectives of our clients
Direct all operational activities, high touch client service, and investment functions including cash flow management, trading, fee negotiations, custody services and regulatory filings
Engage with senior management concerning long range and tactical planning initiatives to build brand and enhance client experience through technology and development of open architecture platform
Manage use and review of portfolio management software, CRM and cloud platform to broaden reporting, trading and workflow systems and processes
Handle all fee billing and performance fee calculations; resolving complex billing issues
Manage staffing administration issues
Define and implement internal firm best practices, budget savings and continuous upgrade of processes and procedures
Responsible for customer account maintenance as it relates to advisory fees processing
Daily, weekly, monthly billing and termination tasks in preparation for Quarterly Advisory fees processing
Assume cashiering function with custodians
Building collaborative partnerships with our Advisor to deliver top-notch client service
Monitoring daily operational processes including trades, regulatory compliance adherence, and problem resolution
Supervising the compilation and maintenance of back-office records to mitigate fraud risk and ensure compliance with legal and regulatory requirements
Relationship management accountabilities include partnering with our custodian to improve and streamline transactions, and finding appropriate and timely solutions to issues that arise

Experience and Education:
Three years' experience in operations management in an investment management or financial advisory services firm; we'll also consider candidates with four or more years' experience as an outstanding operations employee who is ready to be promoted into a management position
Bachelor's degree in business, accounting, economics, or finance
Are familiar with RIA operations, including new account opening, account transfers, billing, and cashiering functions

Qualifications and Personal Characteristics:
Have a client-first attitude with a keen focus on delivering service beyond expectations
Are empathetic leaders who enjoy coaching and developing others
Possess a keen eye for detail and are accurate, organized, and can set priorities appropriately
Are tech savvy and can quickly learn new software, platforms, and tools
Exhibit strong ethics and dedication to maintaining high confidentiality of firm and client data
Are responsive and effective communicators, verbally and in writing, who build trusting and supportive relationships with all levels of firm employees, as well as with clients
Are highly professional and mature and will serve as a positive role model for their team
Are self-starters who take initiative
Challenge the status quo and are successful change agents
Have developed advanced problem-solving acumen and decision-making prowess

Salary and Benefits:
Salary based on experience, $80K-$100K
Performance-based incentive pay
Benefits including dental, vision, and health care; 401(k) plan; paid vacation, personal, and sick time off
Partial financial support for professional accreditation/continuing education requirements and other education/training opportunities
Culture of recognition, including a peer recognition program that rewards employees financially
Reimbursement of costs for gym memberships, yoga classes, and other athletic activities, and in-house speakers on the subject of health and wellness

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