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Advisory Operations Director

Advisor Group Atlanta, GA
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Platform Services Opportunity in Financial Services

Advisory Operations Director

Preferred Location:  Atlanta or Norcross Sites. Remote Considered for the Right Candidate.

Type:  Full-time

Advisor Group operates on hybrid work location schedule, so we are open to candidates willing to work a split schedule between home and the office. Consideration will also be given to applicants seeking 100% remote work from home.

Summary:

The Advisory Operations Director reports directly to the COO and provides on-going superior service to our existing and newly onboarded Triad Hybrid Solutions and Arbor Point Advisors (APA) financial professionals by coordinating with key internal departments, technology partners, and custodian partners. Addressing any issues or service complaints and resolving to their satisfaction.

Coordination of work, projects, and on-going development of improved operational procedures is required. The Advisory Operations Director must be able to manage multiple projects and activities concurrently and will be responsible for managing a team of operational specialists.

Responsibilities:

  • Manage team who will deliver a high level of service and support through fielding inbound calls and emails, and making outbound calls as needed to complete tasks.  

  • Work closely with custodial service managers, Billing team manager, and COO to ensure efficient and proper account set up, implementation of maintenance processes and procedures, and resolution of specific account problems. Be the primary escalation point.

  • Navigate and function within custodian technology as well as internal systems including Orion, Black Diamond, Salesforce, DocuSign and more.

  • Create and maintain operational workflows and Standard Operating Procedures (SOP).

  • Analyze current processes and make recommendations on quality process improvements.

  • Develop and foster working relationships with financial professionals, prospects, and critical contacts.

  • Manage audits of policies and procedures including proxy voting, quarterly confirm statements, mutual fund conversions, and options levels

  • Educate advisors and their staff about paperwork, process, and procedures through the creation of guides, FAQs, training calls and virtual meetings.

  • Effectively manage off boarding of financial professionals including client mailings

  • Coordinate effective onboarding of financial professional and admins with COO

  • Stay abreast of industry-related trends and developments that may impact internal procedures and financial professionals' businesses

  • Develop direct reports through routine one-on-ones, training opportunities, etc.

  • All other duties as assigned

Education Requirements:

  • B.S. in Business Administration, Finance, or related field, required (equivalent education and experience will be considered)

Basic Requirements:

  • Ability to provide an extraordinary level of customer service and support to advisors

  • Skilled in establishing relationships with advisors

  • Ability to establish cooperative working relationships with various business units and strategic partners

  • Ability to analyze issues, identify key variables and develop appropriate solutions

  • Strong attention to detail and ability to work under pressure

  • Familiarity with Schwab, Fidelity, and TD platforms

  • Understanding of fee-based billing methodology and systems

  • Ability to maintain complete confidentiality of information

  • Excellent verbal and written communication skills

  • Able to operate various office equipment and software programs (i.e., Microsoft Office)

  • Ability to be at work on a regular and predictable basis

Preferred Requirements:

  • 7+ years previous experience in financial services industry supporting an RIA

  • Industry licenses such as FINRA Series 65

  • Knowledge of Financial Advisor technology tools (i.e., Orion, Black Diamond, Salesforce)

  • 5+ years managing a team of direct reports

Date Posted September 14, 2022
Date Closes October 14, 2022
Requisition R0003012
Address 2300 Windy Ridge Pkwy #750
Located In Atlanta, GA
Work At Atlanta
SOC Category 00-0000.00
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