Job Posting: Senior Vice President of Operations
Position Title: SVP, Operations
Location:
Company: C2P Enterprises
Employment Type: Full-Time
Industry: Financial Services / Investment Advisory
About Us:
Position Overview: The Senior Vice President (SVP) of Operations will be responsible for overseeing the Registered Investment Advisory (RIA) and Insurance Marketing Organization (IMO) daily operations. The position is accountable for implementing strategic initiatives and ensuring operational efficiency. The ideal candidate will have a strong background in the financial services industry, with a focus on RIA operations, and possess exceptional leadership, organizational, and communication skills. The SVP will work closely with the Executive Vice President (EVP) and other members of the Leadership Team to develop and execute the firm's business strategies and goals.
Key Responsibilities:
- Oversee the daily operations of the RIA and IMO by holding the individual lane leaders accountable for operational performance and productivity.
- Develop and implement operational policies and procedures to ensure efficiency, compliance, and scalability.
- Collaborate with the EVP and Leadership Team to set strategic goals and objectives.
- Lead, mentor, and coach a team of managers and operational support staff to drive a culture of exceptional customer service to our advisors and their clients.
- Drive a high performance, high productivity culture. Monitor and analyze key performance indicators (KPIs) and hold managers and support staff accountable for meeting KPIs.
- Lead and manage the onboarding and account transition process for new advisors joining the RIA and IMO.
- Ensure compliance with regulatory requirements and industry best practices. Support the CCO and Senior Compliance Officer in compliance decisions and implementation.
- Drive process improvements and operational efficiencies to enhance client experience and company profitability.
- Manage the RIA's technology infrastructure and ensure it supports business objectives and growth.
- Manage vendor and strategic partner relationships to provide technology solutions for maximum operational efficiency.
- Working with the existing lane leaders, managing staffing levels and work schedules to ensure that that department and company guidelines are met.
- Ensure operational training is developed and presented to internal team members, advisors and their support staff.
- Foster a positive and collaborative work environment that aligns with the company's core values.
- Provide thought leadership in relation to operational processes, productivity and improvement opportunities for the RIA, IMO and the entire company.
- Provide support for escalated issues from internal staff and advisors.
Qualifications:
- Bachelor's degree in Business Administration, Finance, or a related field (MBA or advanced degree preferred).
- Minimum of 10 years of experience in the financial services industry, with at least 5 years in a senior operational leadership role.
- In-depth knowledge of the investment advisory industry and regulatory environment.
- In-depth knowledge of the insurance industry and regulatory environment.
- Extensive knowledge of all investment products, including Mutual Funds, ETFs, TAMPs, Fixed Income Securities, Fund Strategists, UMA and SMA platforms.
- Knowledge of all fixed insurance products, including fixed and index annuities, life insurance and asset-based long-term care insurance.
- Experience working with Charles Schwab and/or Fidelity as custodian relationships.
- Knowledge and experience working with Orion Portfolio Management Software a plus
- Proven track record of successfully leading and managing teams.
- Strong strategic thinking, analytical, and problem-solving skills.
- Excellent communication and interpersonal skills.
- Ability to work effectively in a fast-paced and dynamic environment.
- Proficiency in financial management, budgeting, and reporting.
- Experience with technology and operational systems relevant to the investment advisory industry.
- Series 65 license required
- Proficiency with Microsoft Office Suite
COMPANY PROFILE
· C2P Enterprises is a holding company comprised of four distinct brands, each designed to simplify financial planning for advisors and the clients they serve. United by the vision to provide planning and financial products and solutions in the best interest of the client, each company offers education, training, resources, and tools to meet a client's unique financial situation, along with access to an array of investment and insurance vehicles to help accomplish their goals.