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

Please contact Amy Kizer at akizer@talentlinksolutions.com or 619-795-7408 for further information.