Dir, Investment Advisory Operations
Dir, Investment Advisory Operations
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$ 150735 - 203936
1 Vacancy
Job Description
The Leader Investment Advisory Operations is responsible for leading and overseeing the operational functions of the firms investment advisory service offerings. This strategic leadership role ensures that all advisory operationsincluding client onboarding account maintenance trading reporting fee-based financial plans billing compliance and advisor supportare executed efficiently accurately and in alignment with regulatory standards and the firms growth objectives. The ideal candidate brings a deep understanding of advisory operations a strong compliance mindset and the leadership skills to build and manage a high-performing team. This role plays a key part in shaping operational strategy and maintaining a culture of accountability service and continuous improvement.
DUTIES & RESPONSIBILITIES:
Leadership & Strategy
Develop and implement operational strategies that support business growth and exceptional client service.
Partner with executive leadership to streamline workflows scale services and support strategic initiatives.
Operational Leadership
Oversee daily investment advisory operations including new account processing custodial relationships portfolio administration trading execution fee-based financial plans reconciliation billing and reporting.
Monitor and improve processes for client onboarding maintenance and transitions.
Design and maintain scalable workflows that promote accuracy efficiency and compliance.
Partner with other operational leaders to deliver best in class client and advisor experiences
Technology & Systems Oversight
Partner with our technical teams on the selection implementation and management of investment platforms CRM systems performance reporting tools and portfolio management systems.
Identify and aide in the implementation of process automation and digital solutions to increase operational efficiency.
Team Management
Recruit develop and sustain a high-performing team while promoting and fostering a culture of shared accountability risk awareness proactive problem-solving engagement client-centricity operational excellence (including client and advisor experiences) innovation continuous improvement and partnership and collaboration across the team.
Collaborate closely with advisors compliance and client service teams to ensure smooth operations and client satisfaction.
The leader will model Thrivents leadership competencies.
Compliance & Risk Management
Ensure all operations comply with SEC FINRA and other applicable regulatory requirements
Develop and maintain policies and procedures to manage risk and operational integrity.
Advisor and Client Support
Partner with Compliance Finance and Product team to resolve escalated issues and improve the advisor onboarding and servicing experience.
Ensure phone chat and processing service levels are maintained on a consistent basis
Support transitions of new advisors and firms joining the Investment Advisor.
Reporting & Analysis
Establish and monitor key performance indicators (KPIs) for operational success and report to executive leadership.
Deliver regular reports to leadership on operational efficiency service levels and key initiatives.
Analyze workflow trends and quality reporting and develop/implement recommendations for continuous improvement.
Describe below the audience this role will interact with and level of influence they will have on those roles.
This leader will lead key areas of the operational organization and play a critical role in shaping day-to-day execution and long-term operational strategy. The role supports growth and efficiency in a fast-paced evolving environment with broad visibility across the firm. The leader will collaborate closely with teams across Operations Distribution and Compliance and will influence internal stakeholders at all levels through strong execution cross-functional partnership and leadership presence.
QUALIFICATIONS & SKILLS:
Required:
Bachelors degree in Finance Business or related field.
10 years of experience in investment advisory operations or wealth management including at least 5 years in a leadership role.
FINRA Series 65 & 24 licensure or equivalent required (or will obtain within 90 days).
Deep understanding of RIA operations investment platforms (e.g. Orion Black Diamond Envestnet) custodians (e.g. Schwab Fidelity Pershing) and trading systems.
Strong knowledge of regulatory environment affecting RIAs (SEC/FINRA).
Proven track record in managing teams regulatory audits and operational change initiatives.
Exceptional problem-solving communication organizational interpersonal and influencing skills. Ability to build trusted relationships with senior business leaders and employees across all levels of the Operations organization.
Demonstrated ability to lead end-to-end process improvement and take intelligent risks to manage expenses and drive continuous improvement.
Experience leading through change as a collaborative leader adept in challenging the status quo while maintaining effective partnerships with key stakeholders.
Strategic thinker with strong conceptual ability with demonstrated ability to improve systems and processes and deliver results.
Demonstrated ability to maintain an external perspective of emerging management and operations trends and identity actions to improve operational stability and mitigate risk.
Strong analytical capabilities with experience using data to drive recommendations and decision making (qualitative analyses financial modelling competitor/industry research etc.).
Excellent coaching and people leadership skills.
Preferred:
FINRA Series 7 24 66.
Pay Transparency
Thrivent provides Equal Employment Opportunity (EEO) without regard to race religion color sex gender identity sexual orientation pregnancy national origin age disability marital status citizenship status military or veteran status genetic information or any other status protected by applicable local state or federal law. This policy applies to all employees and job applicants.
Thrivent is committed to providing reasonable accommodation to individuals with disabilities. If you need a reasonable accommodation please let us know by sending an email toor calland request Human Resources.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
