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30 May 2018

PT or FT Operations Manager

Summit Wealth Advisors Inc. – Posted by summitwealth Frisco, Colorado, United States

Job Description



Summit Wealth Advisors, Inc., an independent financial advisory firm based in Frisco, Colorado, is currently seeking an Operations Manager to develop and implement systematic processes and procedures for the purpose of driving growth and increasing operational efficiencies. To take the lead and ownership of all operational aspects of Summit Wealth Advisors, Inc., including client service and engagement, information technology and systems and tactical planning. To work closely with the executive management team in driving change and implementing successful, growth oriented strategies. To provide support throughout all aspects of the firm.


• Carry out day-to-day operational duties that will ensure a high standard of service to clients and allow the advisors to perform efficiently and effectively.
– Provide email support
– Keep CRM (RedTail) up to date with all pertinent information including client notes and records
– Prep for client reviews and create systematization of processes
– Answer incoming calls and route inquires where applicable

• Build strong relationships with clients, the community, and internal and external partners.
– Develop quarterly educational and/or social events
– Increase client engagement
– Coordinate wholesalers and leverage opportunities for collaboration
– Work closely with community partners to develop brand recognition and consistency

• Implement proper infrastructure and technology to ensure seamless onboarding processes for clients and advisors.
– Oversee hardware & software implementation in partnership with third parties
– Create scalability through systematization of set-up process
– Provide clients with software support including login assistance

• Anticipate changes in the external environment and developing proactive solutions to take advantage of the circumstances.
– Provide ongoing client communications
– Be knowledgeable about the financial markets, financial industry and the economy
– Run financial reports for the firm and for client reviews

• Analyze effectiveness of processes and systems currently in use and recommend and implement corrective action and automation.
– Automate client reviews, meetings and reminders
– Communicate and coordinate with clients and advisors
– Systematize procedures where possible

• Ensure an effective and efficient operating model is developed, put into action, and maintained.
– Streamline account paperwork (new and ongoing)
– Systematize processes to ensure accuracy and efficiency
– Adhere to compliance regulations

• Contribute to the development of sound business practices that conform to all compliance regulations.
– Work closely with Chief Compliance Officer to monitor necessary compliance procedures
– Develop procedures that will ensure smooth audit processes including document accessibility

• Pursue personal development to increase effectiveness, industry knowledge, and skill advancement.
– Seek opportunities for increasing knowledge
– Complete any required licensing (if applicable)
– Actively engage in appropriate industry conferences and seminars

*Due to the nature of working within a small firm, the Operations Manager will be expected to contribute and participate in all aspects of the business, which may include remedial tasks outside the scope of this job description.


• Formulating Strategies and Concepts
• Planning and Organizing
• Deciding and Initiating
• Leading and Supervising
• Relating and Networking
• Presenting and Communicating Information
• Leveraging Technology and Embracing Innovation
• Analyzing


• AA or BA Degree (related industry degree preferred but not required)
• Working within a compliance-culture, preferably within a registered advisory firm or related industry firm
• General operations and office management experience
• High proficiency in Microsoft Office, Xcel and Powerpoint
• Comfortable working with a CRM for processes, preferably RedTail Technologies
• Billing and reporting, preferably with Orion Advisor System


• Track record of integrity and professionalism
• Ability to prioritize and work independently
• High energy and fascination with asset management and financial planning
• Proven record of managing multiple deadlines and scheduling


• Flexible work environment
• Paid time off and vacation leave
• Salary range from $35,000 to $45,000 depending upon qualifications and experience
• Negotiable bonus structure
• Potential equity ownership and incentives
• Opportunity to move into an executive role

A background check will be required for all candidates.

Job Categories: Finance and Accounting. Job Types: PT or FT. Salaries: Salary.

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