Director of Operations & Client Services at Independent RIA
Compensation: $105,000/year + Bonus
About us
We are a Park City, Utah based boutique wealth management firm that provides comprehensive financial guidance and tailored strategies to help high-net-worth individuals and families manage, preserve, and grow their wealth. We act as a single point of contact for a client's entire financial life and as a liaison between the other specialists on the client’s team such as tax attorneys and accountants. We pride ourselves on providing highly customized services and creating deep and lasting relationships with our clients.
We are seeking a Director of Operations & Client Services for an independent Registered Investment Advisor (RIA) to join our growing team. If you enjoy being busy, working with discerning, VIP-level clients and anticipating and solving problems, you will thrive in this role. If you are naturally detail oriented, love creating processes, policies, and efficiencies, you will be a good fit for this role. If you love precision, proactive problem-solving and creating exceptional client experiences, this is a rare opportunity to do meaningful work in a high-autonomy, high-impact role.
This job is ideal for someone who is
- People-oriented. You are naturally gifted in dealing with people and excel at managing different personality types. You are unfazed by the intensity of others’ energy and also aren’t easily bothered by different communication styles
- Process-oriented. You love creating and improving systems that keep things moving with precision and efficiency
- You have a genuine high-energy, high-hospitality, friendly personality
- Dependable, meaning you can be counted on no matter what. You are more reliable than spontaneous
- Self-managing; you get the job done with excellence, even when nobody is watching
- Proactive, anticipatory thinker; common sense goes a long way
The work
- Serve as primary support for client service and administrative workflows including resolution of complex service and operational issues
- Open and maintain client accounts; process transfers, distributions, and updates; execute portfolio trades and rebalance accounts per investment models
- Prepare client meeting materials, operational & client reports, and compliance documentation
- Coordinate with custodians, clients, and internal teams to resolve requests
- Maintain accurate client and trading records to ensure data integrity across systems and compliance with policies; monitor cash balances, settlements, and trade accuracy
- Develop and document operational best practices and compliance policies and procedures
- Review and quality-check account paperwork and transactions
- Oversee firm-wide operations, systems, and workflows; identify and implement process improvements ensuring efficient, compliant, and scalable operational infrastructure
- Partner with advisors and investment leadership to improve client experience, execution efficiency & accuracy, and profitability
- Support investment operations and custodial relationships
- Lead vendor, custodian, and technology relationships
Your Mindset
- Natural desire to please and strong intuition about how to exceed expectations
- Proactive, trustworthy and reliable to a fault
- Always looking for ways to improve processes and client interactions
- Easily handle competing priorities with a flexible mindset and grace
- Calm, composed and effective under pressure
- Self-governing and self-starting with high, detail-oriented standards
- Instinctively handle confidential information with discretion and good judgment
- Appreciate autonomy and work well independently but also have strong collaboration skills
Your Experience & Skills
- 3+ years in operations, concierge services, or high-touch, VIP client services in financial services
- 3+ years experience in an independent RIA
- Extensive experience with Fidelity and Schwab platforms; you know these like the back of your hand and have used them as a CSA/adivsor (not as a retail user).
- Necessary FINRA Licenses to make trades and advise clients
- College degree preferred (but please apply if you’re highly qualified without a degree)
Other
- Office located in Park City Utah
- Position is in office; must be available to attend quarterly events in-person
- Typical work hours are 8 AM to 5 PM Mountain time, with team calls starting at 7:45 AM MST; please apply even if you are based in a different time zone
- Drug and background test required
- Must have at least 3 verifiable references
- Willing to sign an NDA; discretion and confidentiality required
- Robust health insurance benefits
- 6% 401(k) matching program
- Generous PTO policy
- Full-time, $105,000/year + $10,000 annual target bonus
Job Type: Full-time
Pay: $105,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Health insurance
- Paid time off
- Vision insurance
License/Certification:
Work Location: In person
