The Director of Operations is responsible for leading and scaling the firm’s operational infrastructure to support continued growth and client experience excellence. This role serves as the connective tissue between leadership strategy and day-to-day execution, ensuring that people, processes, and technology operate in a coordinated and efficient manner.
The ideal candidate brings experience in the RIA or wealth management industry, strong operational rigor, and the ability to build structure without creating unnecessary bureaucracy. This individual will partner closely with leadership to establish and improve workflows, enhance accountability, and support the firm’s next phase of growth.
Primary responsibilities include but are not limited to:
· Oversee the firm’s core operational functions, including client service workflows, new account onboarding, money movement, and custodial processes.
· Design, document, and continuously improve scalable operating procedures.
· Identify process bottlenecks and implement solutions that improve efficiency and reduce risk.
· Ensure operational readiness to support firm growth and increasing client complexity.
· Establish and monitor key operational KPIs and service standards.
· Lead and develop the Client Service team.
· Clarify roles, responsibilities, and performance expectations across the client support team.
· Build management depth and succession within the operations function.
· Foster a culture of accountability, ownership, and continuous improvement.
· Serve as the primary liaison between Operations, Advisors, Investment Team and Vendors.
· Oversee effective utilization and successful implementation of the firm’s technology stack (CRM, custodial platforms, planning tools, etc.).
· Lead the subscription process for alternative investments, coordinating investor paperwork and fund allocations.
· Drive adoption of automation and digital tools to enhance scalability.
· Partner with COO/CCO and third-party consultants to ensure operational processes align with regulatory expectations.
· Strengthen procedural documentation and audit trails.
· Support mock exams, operational due diligence, and regulatory readiness.
Requirements:
– 5+ years of experience in wealth management, RIA, or financial services operations.
– Must be fluent in Spanish.
– Demonstrated leadership of client service and/or operations teams.
– Deep familiarity with custodial platforms (e.g., Schwab, Pershing).
– Strong process design and workflow optimization experience.
– Proven ability to operate in a growing, entrepreneurial environment.
– Excellent organizational, communication, and problem-solving skills.
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