Dir Financial Operations

Grow your career with a growing organization

Whether they’re helping people reach their long-term financial goals or providing personal wealth management strategies, every associate contributes to changing the lives of those we serve for the better. When it comes to job satisfaction, that’s hard to beat. And from a personal satisfaction perspective, you’ll enjoy the freedom to support causes that matter to you and experience a truly inclusive work environment. Your future starts now.

Responsible for overseeing Monetary Control, Investment control, Trust, SPS/Taxation and Fund/Fee changes teams, responds to most complex operational, accounting, and reconciliation issues and inquiries.

ESSENTIAL FUNCTIONS:

• Conceptualize and develop strategies to address business goals and objectives.
• Define and ensure controls, policies and procedures are in place to mitigate risk.
• Ensure processes and procedures are in compliance with company policies, Sarbanes Oxley and regulatory agencies.
• Manages various projects including system upgrades and conversions, working with other departments in defining and streamlining processes, and smoothly transitioning new business into the company.
• Manages all operational standards and mitigates risk as it relates to all entry, daily review, and reconciliation of Shares, Suspense, Tax, Trading, Pricing, Unitization, and operational systems.
• Ensures the department's compliance with audit standards through monitoring of ICOFR controls and adhering to SSAE18 standards.
• Develop and implement plan to enhance staffing capabilities by assessing skill and competencies of associates and implement learning interventions so as to match with current and future expectations of the business.
• Responsible for the development of workforce by conducting regular coaching & feedback session based on performance measures and aspirational objectives.
• Must lead the team while achieving short- and long-term goals, both at individual as well as at team level
• Must interact with the business partners and key stakeholder in meeting operational challenges and scheduled production activities. Perform monthly business reviews with partners to assess overall health of the function as well as status check on short-medium-long term goals.
• Ensure effective planning and execution of operations and must reduce waste levels and achieve milestones and requirements of the organization.
• Performing daily/weekly/monthly reviews of BAU including Service quality, production and utilization measure and perform Compliance feedback analytics.
• Follows-up with various stakeholders for timely resolution.
• Timely escalation for any delay or issue
• Initiate and participate in the quality improvement process (identifying opportunities for improvement, leading key initiatives for the department, and documenting procedures). Initiate and monitor special projects as needed.
• Responding to email questions
• Participating in the partner call when needed
• Review and audit SOWs, SOPs, production & access profiles on a regular basis
• Demonstrate consistent leadership abilities, such as being team and results oriented, committed, decisive, and flexible, as well as being a true role model for team members.
• Anticipate and resolve issues before they adversely affect projects and/or relationships

QUALIFICATIONS:

• Bachelor’s degree in accounting/Finance or equivalent work experience MBA and/or CPA strongly preferred.
• Good understanding & work experience of Financial Operations including Reconciliations, Fund accounting, Investments setup, Fund & Fee changes etc.
• 15+ years in financial operations
• Should be managing a group of team Managers/assistant managers in the last 8 years.
• Financial reporting or audit experience specific to investments
• Advanced proficiency in MS Office (Excel); MS Access skills preferred.
• Excellent problem-solving skills.
• Excellent oral and written communication skills.
• Ability to independently manage department workload and proactively identify projects as necessary
• Strategic thinking
• Collaboration & effective networking
• Coaching and Mentoring
• Conflict Management
• Adaptable to Change: Effectively copes with change; learns quickly when facing problems; remains open-minded
• Detail Oriented: Ensures that information is always reviewed and presented in a thorough and accurate manner; precisely captures information to complete work accurately; focuses on the smaller elements and/or the fine points of material or processes
• Innovative: Challenges established ways of doing things by sharing resourceful ideas and solutions

This job description is not intended to be an exhaustive list of all duties, responsibilities and qualifications of the job. The employer has the right to revise this job description at any time. You will be evaluated in part based on your performance of the responsibilities and/or tasks listed in this job description. You may be required perform other duties that are not included on this job description. The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.