Wipfli Financial Advisors (Madison, WI/Chicago, IL/Milwaukee, WI/Kansas City, MO – open to remote) Seeking a Director of Operations

The Director of Operations is a leadership role responsible for overseeing the traditional back office functions of an RIA firm.  The role is accountable for the safety and integrity of client information, data and reporting, technology platforms and integration, external operational relationships, management reporting, risk management, disaster recovery, and all operations functions.  The Director of Operations plays a key leadership role and participates in strategic change management with respect to day to day operations and long-term strategic decision making. The position plays an important role in overall relationship management across various internal groups including advisor teams, operations, technology, compliance, legal and talent management.

The right candidate will possess strong leadership skills and organizational knowledge that results in a high performing team with a focus on our clients and delivering excellence through timely, accurate and efficient processes.

This position reports to the COO and works closely with firm management as well as client-facing teams, the investment team, and compliance.  The Director of Operations has a deep understanding of the investment advisory industry, and possesses the ability to build a high performing, collaborative team by identifying, hiring and developing talent

Responsibilities: 

  • Client security and data integrity.
  • Oversight of all key operational support functions, including: portfolio accounting, client reporting, client billing and trading
  • Oversight and management responsibilities for the Operations team.
  • Implement efficient, organized and accurate CRM and portfolio accounting platforms.
  • Interface with leadership to ensure that operations delivery aligns with strategic goals, objectives and client experience expectations.
  • Ensure that the Operation team provides a strong service experience for our clients and is compliant with all company and regulatory requirements.
  • Overall responsibility for infrastructure firm-wide—facilities, computer hardware and software, phones, video, etc. Ongoing IT support and systems administration.
  • Provide leadership in the area of new regulatory requirements which impact the various operation departments.
  • Develop and manage relationships with Operations vendors and service providers to ensure the firm receives excellent service and is compliant with applicable regulations.
  • Develops strong peer networks and relationships. Proactively involved in monitoring developments in operational advancements within the industry to ensure the firm remains current in its technology solutions, maximizing efficiency and profitability whenever possible.
  • Assess and improve key processes. Develop and plan future strategies for client and/or process improvement service initiatives, including implementation of new technologies as outlined by leadership.
  • Build strong relationships with counterparts in our CPA partner firm. Leverage resources and create efficiencies through strong collaboration wherever possible.
  • On-Boarding /Training—working with Talent Management to provide an optimal on-boarding process for new employees and continuous training for the adoption of Operational best practices firm-wide.

Qualifications:

  • 10+ years of relevant experience.
  • Industry knowledge- specific knowledge of RIA Industry, operational processes, and regulatory policies and procedures.
  • Ability to work with and through colleagues, to drive initiatives to completion, cultivating buy-in to accomplish objectives and effect change.
  • Strong process and workflow design skills.
  • Ability to develop, mentor and motivate staff, delegate appropriately, and model positive leadership.
  • ability to effectively present and make recommendations to management and our board, as well as participate in and/or drive strategic decisions
  • Strong financial intelligence and understanding of our corporate structure and compliance. Ability to review and manage key legal contracts and agreements with our largest vendors.
  • Excellent attention to detail with the ability to understand and reconcile data, in addition to managing multiple projects

Interested?  Apply here.