Director, Wealth Management Operations & Compliance
The Director of Wealth Management Operations & Compliance will lead, manage, and oversee the Wealth Management operations and support team to provide quality, efficient and effective service to internal and external clients in a sales and service culture. The Director will provide compliance oversight, maintain quality controls, and manage the standard operating procedures for the Wealth Management Division. The Director will cultivate and maintain effective internal and external business partnerships carrying out responsibilities in accordance with the organization’s policies & applicable laws and regulations.
What you will do here:
Operations Oversight and Results: Lead, coach and manage the operations/service team to provide service support to financial advisors and clients to achieve service delivery expectations, growth targets and the organizational business goals. Build, maintain and evaluate processes and activities to create an exceptional client experience while maintaining a high level of efficiency and effectiveness. Policy and procedure development, management, and oversight. Support and manage escalated internal and external client inquiries and issues. Collaborate with I.T. and third party vendors with regard to project management for various operational projects and systems in developing workflow process and ongoing updates to the system components. Manage supply inventory and expenses to budgeted goals. Recruiting, hiring, training, and evaluating employees. Addressing issues and resolving problems. Manage continuing education and employee development to ensure the quality of advice provided by the Wealth Management team meets our business objectives and service levels. Provide support for members of the wealth management team to achieve professional qualifications and designations that will support the growth of the Wealth Management Division.
Compliance Oversight: Ensure compliance and adherence to all internal and business partner policies and regulations with all governing oversight authorities (i.e., FINRA, SEC, NCUA, AZDOI, etc.) is extremely important in this position. Maintain Evaluate and Audit policies, processes, procedures, product offering and internal controls to ensure compliance with applicable laws and regulations. Support escalated internal inquiries and client issues. Policy and procedure management and oversight. Manage continuing education and employee development. As part of the compliance oversight of the program, you will be responsible to maintain compliance documentation for the program and ensure appropriate documents are retained and filed.
Business Partnerships and Relationships: Manage, maintain, and develop Internal and external business partnerships (e.g., retail, marketing, product partners, etc.) while building positive relationships. Act as a liaison with our broker dealer and OSJ for compliance and operational support and oversight.
Perform other job-related duties as assigned.
What you will need:
Bachelor’s degree in Finance, Business, or related field; or equivalent combination of education and experience required.
10 years of experience in Leadership, Wealth Management, Securities Industry, and/or Insurance Industry required.
Compliance experience preferred.
Demonstrated effective Leadership skills preferred.
Demonstrated effective Customer Service skills required.
Demonstrated expertise in Process and workflow management required.
Demonstrated expertise in Compliance oversight and management required.
Demonstrated Problem solving skills and attention to detail required.
Proficient Project Management skills required.
Series 7 – General Securities Representative Qualification required.
Series 66 – Uniform Combined State Law OR Series 63 – Uniform Securities Agent License AND Series 65 – Uniform Investment Adviser Law required.
We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.
For additional information about our organization, careers, and benefits visit: http://www.desertfinancial.com/careers.