General Responsibilities

The responsibilities of the Director of Investment Operations are to build out and be an advocate for efficient investment operations and wealth management at GFG Solutions. This position trains and oversees the investment operational activities, including work performed by representatives, their staff and office related to order processing, account set up and maintenance, check deposits, funds disbursements and service requests. This position plays a crucial role in designing portfolios and managing assets in a manner that meets clients’ unique needs. This requires daily monitoring and research on economic and investment trends.

Department management

This role reports to the COO
Report weekly to COO to provide status report on Investment Department
Manage Investment Department team members, including initial and ongoing training, performance evaluations, quality assurance product accuracy, timely execution, and proper delegation of duties and responsibilities
Engage with clients on investments strategies, products and recommendations
Represent GFG in community and build effective relationships and networks
Ensure client case tracking is maintained daily, oversee implementation of account set up, asset transfers, service requests, and ensure reporting to advisors is completed in timely fashion
Participate in training advisors regarding investment related services
Ensure implementation of firm compliance policies, including maintenance of client case files and performance and regulatory reporting
Tracking Investment Department revenue goals and actuals
Assist with Investments related commission payments to advisors as part of firm payroll process
Create internal and client-facing market commentary

PORTFOLIO MANAGEMENT OVERSIGHT

Oversight of the following:
Monitor market performance daily and regularly report on market conditions and industry trends
Prepare and modify investment/advisory proposals for clients, providing recommendations on individual securities, investment products, and overall strategies
Develop and oversee client investment strategy, including asset allocation, portfolio construction, and risk management
Complete all trade requests inside of client accounts, including reallocations and rebalancing, cash raises, and allocation changes
Correspond and meet with clients regarding portfolio management, explaining advisory products and performance, discussing tax consequences and advisory fees, and answering client inquiries regarding their assets and any services issues
Generate and submit monthly management fees and corresponding fee file to custodian of record
Create internal and client-facing market commentary

Qualifications

Required: Series 65 or Series 66
Three to five years of securities industry and portfolio management experience required
Familiarity with operations and supervisory requirements associated with general securities
Leadership skills
Experience communicating investment advice to clients
Degree in Finance preferred
Strong organizational and time management skills with ability to set priorities and meet deadlines
Ability to build rapport and exercise resourcefulness and understanding
Excellent oral and written communication skills with the ability to collaborate effectively with others
Proficient computer skills
Detail oriented and accurate
Excellent analytical and problem-solving skills
Experience using Y-CHARTS and Orion preferred

GFG Solutions

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Director of Investments