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Director Operations

The ideal candidate will bring extensive experience in the financial services industry, exceptional leadership capabilities, and strong organizational and communication skills. As a critical member of the Leadership Team, the DOO will oversee all operational aspects of the firm, ensuring alignment with business objectives and delivering exceptional client experiences.

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Position Overview:The Director of Operations (DOO) is responsible for driving operational excellence and implementing strategic initiatives to support the company’s growth and efficiency. The ideal candidate will bring extensive experience in the financial services industry, exceptional leadership capabilities, and strong organizational and communication skills. As a critical member of the Leadership Team, the DOO will oversee all operational aspects of the firm, ensuring alignment with business objectives and delivering exceptional client experiences. This role requires someone who thrives in a dynamic environment, works independently, and takes full ownership of operations.Key Responsibilities:<ul><li>Oversee daily operations to support advisors in delivering an exceptional client experience, including:</li><li>Client communication</li><li>Meeting preparation and follow-up actions</li><li>Financial planning data input</li><li>Portfolio trading/rebalancing</li><li>Money movement and account paperwork processes</li><li>Develop, enhance, and implement operational policies and procedures to ensure efficiency, compliance, profitability, and scalability.</li><li>Collaborate with the Leadership Team to establish and execute strategic goals and objectives.</li><li>Lead, mentor, and coach the operational support team to foster a culture of excellence and client-focused service.</li><li>Manage all employee-related processes, including hiring, onboarding, training, performance evaluations, salary/bonus recommendations, and terminations.</li><li>Serve as the primary point of contact for resolving operational issues related to technology, office systems (e.g., phones, copiers), and other infrastructure.</li><li>Ensure compliance with industry regulations and best practices to maintain operational integrity.</li><li>Oversee the company’s technology infrastructure, ensuring it aligns with business needs and supports scalability.</li><li>Manage relationships with vendors and strategic partners to optimize technology solutions and operational efficiency.</li><li>Develop and deliver operational training for internal team members, advisors, and their support staff.</li><li>Facilitate quarterly planning sessions and annual retreats based on the EOS (Entrepreneurial Operating System) model to promote collaboration and alignment with core values.</li><li>Monitor operational processes and identify opportunities for improvement, driving productivity and scalability.</li><li>Provide support and backup for escalated client service issues, ensuring timely resolution.</li><li>Oversee and contribute to marketing efforts, including planning client appreciation events.</li><li>Continuously evaluate industry technology trends to identify opportunities for system enhancements or technology shifts.</li><li>Track Gross Dealer Concessions (GDC) and First Year Commissions (FYC) in detail.</li></ul>Qualifications:<ul><li>Education & Experience:</li><li>Bachelor’s degree in Business Administration, Finance, or a related field.</li><li>Minimum of 5 years of experience in the financial services industry, with at least 3 years in a senior operational leadership role.</li><li>Proven track record of successfully leading and managing teams.</li><li>Industry Knowledge:</li><li>In-depth understanding of the investment advisory and insurance industries, including regulatory environments.</li><li>Strong knowledge of fixed insurance products, including fixed and indexed annuities, life insurance, and asset-based long-term care insurance.</li><li>Skills & Competencies:</li><li>Strategic thinking, analytical, and problem-solving abilities.</li><li>Excellent communication and interpersonal skills.</li><li>Proficiency in financial management, budgeting, and reporting.</li><li>Experience with technology and operational systems relevant to the financial services industry.</li><li>Proficiency in Microsoft Office Suite, particularly Excel.</li><li>Knowledge of EOS (preferred).</li><li>Certifications & Licenses:</li><li>Series 7 license (required).</li><li>Personal Attributes:</li><li>Team-oriented: Humble, hungry, and emotionally intelligent.</li><li>Organized and disciplined, with exceptional time management to handle multiple projects simultaneously.</li><li>Adaptable and willing to step in where needed to support the team.</li></ul>About us —We are a boutique Comprehensive Financial Planning Firm located in San Diego, CA. Our team is cohesive, collegial, fast-paced, and professional. Together, we provide our clients with exceptional service as we deliver Comprehensive Financial Plans. Guided by our Clients-First philosophy, we cater to those interested in guidance throughout all of life’s stages. Our clients can expect tailored advice and a structured Financial Planning process to help deliver comprehensive and coordinated financial solutions.We offer —We offer a base salary, bonus potential, matched 401(k), health benefits, vacation and paid holidays, and a great working environment. This is your chance to play a key role in the continued success of our growing organization. Our culture is fast-paced, collaborative, innovative, and focused on healthy living. To be considered for this role —Email Amber (ajessman@gmail.com) with your resume and cover letter. We will communicate the next steps and the interview timeline once you have submitted a resume. Thank you for your consideration!

MassMutual

Director of Operations

Capital Markets Placement_feed

Head

The Head of Private Wealth & Trust Investments for The MassMutual Private Wealth & Trust Company is responsible for the leadership and oversight of investment related operations within the MassMutual Private Wealth & Trust Company, including defining and implementing the investment philosophy and strategy; as well as promoting and explaining the value proposition of an investment fiduciary within MassMutual Private Wealth & Trust. Document investment processes and client portfolio account suitability, including annual Reg 9 reviews, subject to regulatory requirements set forth by the Office of the Comptroller of the Currency (OCC).

The OpportunityThe Head of Private Wealth & Trust Investments for The MassMutual Private Wealth & Trust Company is responsible for the leadership and oversight of investment related operations within the MassMutual Private Wealth & Trust Company, including defining and implementing the investment philosophy and strategy; as well as promoting and explaining the value proposition of an investment fiduciary within MassMutual Private Wealth & Trust. This role requires a unique combination of deep investment and analytical skills with strong relationship management competencies.The position reports to the Head of Investments, MMFA Wealth Management / Chief Investment Officer, MassMutual Private Wealth & Trust.The TeamOur team is a dynamic, energetic, and problem-solving powerhouse that continues to grow, evolve, learn, adapt and solve problems. We come from a diverse set of backgrounds and thought processes, and welcome debate, innovation, better ways of thinking and help evolving our team towards accomplishing our mission. We are incentivized to solve investment problems, and connect to the purpose to using investment tools to thoughtfully and helpfully accomplish the goals and objectives of our clients.The Impact:The responsibilities of the Head of Private Wealth & Trust Investments include, but are not limited to:<ul><li>Manage, lead and develop a team of 3-5 investment professionals</li><li>Conduct in-depth product due diligence analysis for all investment products and outside managers that we currently work with or might add to the investment platform</li><li>Ensure investment processes are in-line with MassMutual Private Wealth & Trust Compliance, Fiduciary, and Legal requirements</li><li>Document investment processes and client portfolio account suitability, including annual Reg 9 reviews, subject to regulatory requirements set forth by the Office of the Comptroller of the Currency (OCC)</li><li>Prepare and assemble investment performance reports and attribution analysis etc., for submission and presentation to MM Private Wealth & Trust’s Investment Committee</li><li>Translate and communicate complex investment topics and financial market issues into simple language and nomenclature that can easily be absorbed by clients and financial advisors</li><li>Prepare on-going monitoring and review of investments distributed through MM Private Wealth & Trust Company. Communicate issues and risks that may affect the viability of the product, the relationship, or MM Private Wealth & Trust Company clients</li><li>Contribute to the development and on-going assessment of the investment product strategy and the product development process.</li><li>Identify and drive changes in the investment strategies in order to improve profits/performance.</li><li>Participate in creating proposals and presentations to our more sophisticated, high net-worth clients, prospects, attorneys and registered representatives. Travel may be required.</li><li>Contribute as the Subject Matter Expert in the development of new investment programs offered by the MM Private Wealth & Trust Company. Such assistance may include assisting in the design the program, drafting policies & procedures, implementing the program, and educating the field force and internal staff on attributes of program.</li><li>Lend investment knowledge to a team of Private Client Managers (Trust Officers) and wholesalers specific to the development and ongoing changes to IPS.</li></ul>Minimum Requirements<ul><li>Bachelor’s degree</li><li>Chartered Financial Analyst (CFA) or actively working towards becoming a CFA.</li><li>10 years of investment or portfolio management experience.</li></ul>The Ideal Qualifications<ul><li>Knowledge and experience with prudent investor rules and investment fiduciary duties</li><li>Experience directly managing Fixed Income or Equity portfolios</li><li>Previous investment analysis, investment consulting or due diligence experience</li><li>In depth knowledge of the financial details like accounts, analysis of financial statements, securities and stock market working and investment strategies</li><li>Excellent knowledge of industry recognized computer applications (Morningstar, Bloomberg, etc) for analysis of data and preparation of investment plans using the latest technology</li><li>Strong analytical ability</li><li>Excellent managerial and leadership skills</li><li>Ability to educate and inform a private wealth organization</li><li>Strong presentation skills and the ability to communicate confidently to registered advisors and clients</li><li>Ability to view all the available resources comprehensively and suggest the best way to use them to increase company profits</li><li>Exceptional planning, analytical and execution skills</li><li>Excellent written and verbal communication skills</li><li>Creativity and the ability to think out of the box to formulate innovative strategies</li></ul>What to Expect as Part of MassMutual and the Team<ul><li>Regular meetings with the Investment Management Team</li><li>Member of the senior leadership team within MassMutual Private Wealth & Trust</li><li>Focused one-on-one meetings with your manager</li><li>Access to mentorship opportunities</li><li>Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups</li><li>Access to learning content on Degreed and other informational platforms</li><li>Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits</li></ul><h3>LI-LS1</h3>MassMutual is an Equal Employment Opportunity employer Minority/Female/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply. Note: Veterans are welcome to apply, regardless of their discharge status.If you need an accommodation to complete the application process, please contact us and share the specifics of the assistance you need.

Head of Private Wealth & Trust Investments, Investment Management

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