C2P Enterprises · 5 hours ago
Senior Vice President of Operations
United States
Full-time
Remote
Senior Level, Lead/Staff
10+ years exp
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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.
Qualification
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Required
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
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
Preferred
Knowledge and experience working with Orion Portfolio Management Software a plus
Benefits
401(k)
401(k) matching
Dental insurance
Health insurance
Health savings account
Life insurance
Paid time off
Retirement plan
Vision insurance
Company
C2P Enterprises
Financial Services Platform Company
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Pablo Terra
Chief People Officer and Founding Partner
Company data provided by crunchbase
