Director – Investment Operations

This job description is to serve as an agreement between the Director and the Investment Operations Team. The Director’s primary responsibilities are to lead, manage and hold accountable the Investment Team so that they perform efficiently, develop appropriately, and increase their depth of knowledge to continuously grow and evolve in their role.

Manage Workflow

Assigning Tasks

Assign task daily as file notes and emails come through. Periodically review all file notes throughout the day to ensure all tasks are distributed in a timely manner. All tasks assigned within 24 hours.
Work with other teams and the DOO to ensure all elements of follow up tasks are completed efficiently.
Review CRM and Excel lists to confirm all open tasks are tracked appropriately and updated in real time.

Reviewing Priorities and Workflow with Team Members

Direct multi-weekly meetings with the investment team to gauge workflow, capacity, and prioritize open tasks.
Direct daily one-on-ones with team members for prioritization and workflow, as needed.
Discuss open tasks with Investment Team Members to gauge workflow capacity on an as-needed basis throughout the week.

Ensuring Understanding of Priorities and Task Execution

Establish clear expectations for the tasks assigned to each team member.
Be open and available for any questions or concerns from team members.
Review and assist on high priority tasks or tasks that are new to a team member.
Actively communicate priorities when tasks are assigned and as they are in process

Ensuring Appropriate Cadence of Work

Actively review CRM and Excel task lists to ensure tasks are being completed by their assigned due dates.
Communicate with Investment Team Members and Relationship Managers to set clear expectations for task prioritization.
Maintain a personal workload that benefits the team. Reprioritize or reassign tasks as needed to keep workflow moving efficiently. Communicate workflow openly with DOO.
Actively participate in weekly Calendar meetings on Monday mornings. Notify the team of any items that have been sent to file prep for upcoming meetings. Set expectations for when tasks will be completed for materials not yet in file prep.

Client Services

Case Management and Client Correspondence/Oversight

Work with Investment Team Members and Relationship Managers to ensure cases are followed up on with the appropriate cadence.
Ensure any client emails to the investment team are acknowledged same day or next day if received after hours.
Empower team members and be actively involved in client-facing assistance or research tasks.
Ensure any meetings materials are sent in a timely manner.
Set a standard for appropriate client communication.

A+ Communication and Complex Cases

Maintain a full understanding of a case complexity through file notes and Relationship Manager communication.
Set clear expectations for complex and A+ cases and communicate segmentation to team members.

Trading, Complex Cases, Home Office Communication & Liaison

A+ Cases

Offer insights to Relationship Managers and Team to ensure high priority clients have the best experience possible.

Custom Exhibits/Projects

Work with Relationship Managers and appropriate Team members to spearhead new or one-off exhibits for high priority clients.
Provide continuous training to the team members as exhibits become part of a Relationship Manager’s typical services offered.

Home Office Liaison

Work with the team at Home Office to review cases, develop skills and provide more value to Relationship Managers.
Participate in software learning sessions to stay on top of the latest changes and newest offerings from firm's investment services.

Monitor Book of Business / Insights

Weekly and Monthly Tracking

Track the number of new AUM on a month-to-date basis to share with the team on Monday meetings. Provide any investment insights or procedure updates during this time as well.
Track the weekly Investment Team Scorecard and communicate ways to meet our team goals.

Team Development

Conduct Ongoing Training

Direct monthly trainings with Investment Team Members to develop our team’s practical skills. Rotate bimonthly between research discussion topics and technical training.
Coordinate team training topics for Investment Session with the C3 Wealth Management Partners.
Selectively participate in Home Office and outside training courses.
Maintain and upkeep training database.

Review Development Plans

Direct quarterly reviews with Investment Team Members.
Communicate with team members on their goals for developing in their role.
Empower team members to be consistently growing and improving.

Stay Up to Date on Software and Regulation

Use home office resources and seminars to stay in front of an everchanging software landscape and regulatory landscape.
Communicate any pertinent information to the team and include their participation in any trainings whenever possible.

Team Accountability

Accountability for Prioritization, Detail, and Service

Check in on prioritization and capacity with team members daily.
Conduct weekly meetings to track progress and review any outstanding tasks.
Encourage proactive team communication with Relationship Managers and Clients.
Review CRM and Excel task lists to ensure priorities are met in a timely manner.
Trust the Investment team to uphold the value of integrity in all elements of their work.

High Standards and Leadership

Lead by example in completing tasks in a timely and accurate fashion, communicating proactively and effectively tracking my tasks daily.
Communicate openly with team members on expectations. Provide constructive feedback to ensure team members can perform to the best of their ability.
Standardize processes where possible to create a consistent and efficient workflow system.

Relationship Manager Feedback

Actively communicate with Relationship Managers during weekly meetings, office hours, and during opportune check-ins.
Understand Relationship Manager’s short-term calendars and position to the team to communicate as effectively as possible.
Review and explain analyses in depth with Relationship Managers to ensure they can present the best product possible to Clients.

Communication

Communicate with team and Director openly and honestly regarding capacity, workflow, and issue/opportunity areas.
Foster the culture of open and honest communication within the Investment Team.
Proactively communicate expectations and capacity with team members and encourage them to do the same in return.

Jobs in King of Prussia

Director of Investment Operations