Director of Operations

Wednesday, December 16, 2020 2:41 PM | Anonymous

Summary of Position for Director of Operations The Director will be charged with leading a team of operational specialists who provide support and a superior service experience to Ashton Thomas Advisors and clients. The role is based in Ashton Thomas’ Scottsdale company headquarters and will report to our COO.

An excellent candidate is passionate about relationship and project management, is hands on, and has deep knowledge of the RIA and broker-dealer space. This individual must be a confident leader who is comfortable managing various stakeholders through complex problems. They must be a great communicator with the ability to connect across all levels of the organization, critical vendors, and other advisory firms.

Duties and Responsibilities

• Oversee the management, coaching, and development of a team of operations and Client Service team members.

• Understand key strategic, financial, and operational drivers of all back-office and middle-office functions. • Coordinate the operational team for onboarding new advisors and advisor teams. • Manage staffing, work schedules, and monitoring of multiple call/workflow queues to ensure department standards and company guidelines are achieved and exceeded. • Work closely with the COO and make tactical recommendations related to the allocation of resources in an effort to ensure adherence to high service level standards. • Identify and resolve operational and compliance issues that may arise during daily activities. • Establish and maintain strong relationships with service teams for the firm’s custodians to tackle time-sensitive issues. • Complete special projects and assist with writing communications to the field on operational enhancements. Participate in presentations as needed. • Identify process improvements and coordinate with COO and CCO to implement the solutions in an effort to build efficiencies and increase productivity. • Develop and implement best-practice processes related to the firm’s operations and in support of the firm’s other departments including client data, employee changes, and investment functions including portfolio accounting and trading.

• Develop written procedures when system changes are implemented. • Serve as a Team Leader and assist with escalated issues, manage call escalations from clients and advisors. Manage high-profile complaint requests. • Assist with the review and principal approval of new account applications. • Develop strong networks and relationships among stakeholders and all members of the firm to create operational efficiencies. • Identify and resolve operational and compliance issues which may arise during daily activities.

Skills and Abilities

• Experienced in consistent cross-functional program delivery

• Proven project management skills

• Strong interpersonal skills and an innate ability to build immediate rapport with financial/wealth advisors, company leaders and colleagues

• Developed understanding or the ability to quickly learn the operational details of advisory business (e.g., RIA) functions (IT, Finance, Operations, Compliance, etc.)

• Demonstrable ability to communicate, present and influence key stakeholders at all levels of an organization, including executive and C-level

• Proven ability to manage multiple projects at a time, while maintaining sharp attention to detail

• Proactive self-starter and highly motivated, ability to work independently and drive change

• High ethical standards and integrity

• Outcome driven

• Excellent listening, negotiation and presentation abilities. Strong verbal and written communication skills • 10+ years of operations experience, 5+ years with managerial functions within financial services. Experience at a Registered Investment Advisor (RIA) highly preferred.

• Bachelor's degree

• FINRA Series 65/66, 7, and 24 Preferred

• Industry professional designation(s) preferred (CFP, CPA, ChFC, CIMA) • Proficiency with Microsoft Office • Advanced knowledge of Microsoft Excel including v-lookups and pivot tables • Strong customer service skills and comfort with inbound/outbound calls • Outstanding written communication skills • Willingness to be flexible with schedule to meet extended business hours and heavy client demand • Advanced knowledge of Mutual Funds, ETFs, Brokerage Accounts and the Managed Account Industry is necessary

• Superior management and collaboration skills including the ability to influence and engage direct and indirect reports and peers. • Bachelor’s degree, advanced degree and/or designations preferred. Series 65 required to be obtained upon hire. • Organized and detail oriented while managing and prioritizing multiple tasks simultaneously. Compensation • Competitive base salary, bonus


• Company 401(k) with match

• Health and dental insurance

• Paid time off


William J. Cerynik

Director of Business Development

Phone: 602-732-4745


FPA of Greater Phoenix
c/o Premium Organization
PO Box 4130, Scottsdale AZ 85261
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