The Associate Director, Investment Operations is responsible for leading the firm's Investment Operations team and overseeing the operational functions that support portfolio management, trading, account administration, and investment-related services across the organization. This role provides strategic leadership and operational oversight, ensuring efficient workflows, strong internal controls, data integrity, and consistent service delivery.
The successful candidate will possess strong analytical, organizational, and leadership skills, with the ability to develop high-performing teams, drive operational improvements, and support the firm's continued growth. This individual will work closely with Portfolio Management, Advisors, Client Service, Trading, Billing, Compliance, Technology, and other stakeholders to resolve complex issues, enhance operational processes, and strengthen the firm's investment-related operational capabilities.
You will join a team of dynamic, collaborative, and client-focused professionals who are committed to delivering EP Wealth's core values of Integrity, Entrepreneurial, Inclusivity, and Connection.
Key ResponsibilitiesLeadership and Operational Oversight- Lead, coach, and develop the Investment Operations team, fostering a culture of accountability, collaboration, and continuous improvement.
- Oversee daily departmental operations, establish priorities, allocate resources, and monitor performance to ensure timely, accurate, and efficient execution.
- Evaluate team structure, workflows, and capabilities to improve organizational effectiveness and support the firm's continued growth.
- Establish and maintain operational standards, policies, procedures, and service level expectations to promote consistency, quality, and scalability.
- Serve as a key escalation point for complex operational issues, providing leadership, guidance, and effective resolution.
Investment Operations and Data Integrity- Oversee investment operations workflows supporting portfolio management, trading, account administration, reconciliation, custodial integrations, and related investment activities.
- Ensure the accuracy, completeness, and integrity of portfolio and account-level data through effective operational controls, quality assurance, and exception management.
- Identify and resolve recurring operational and data-related issues through root-cause analysis, process improvements, and sustainable corrective actions.
- Maintain a strong understanding of portfolio management systems, data flows, and operational dependencies supporting investment management, client reporting, billing, and other business functions.
- Collaborate with internal stakeholders and third-party vendors to address system-related challenges, improve data reliability, and enhance operational effectiveness.
Operational Strategy and Continuous Improvement- Identify and implement process improvements, automation opportunities, and operational efficiencies that enhance accuracy, service delivery, and scalability.
- Lead operational initiatives involving system enhancements, technology implementations, business integrations, and other strategic projects.
- Establish and monitor key performance indicators, quality measures, and service level metrics to evaluate operational performance and identify improvement opportunities.
- Partner with internal stakeholders to improve processes and controls supporting portfolio data, client reporting, billing, and compliance-related activities.
- Provide strategic recommendations regarding operational priorities, resource needs, technology capabilities, and opportunities to strengthen the firm's operational infrastructure.
Risk Management and Operational Governance- Ensure adherence to firm policies, regulatory requirements, established procedures, and applicable operational standards.
- Proactively identify and mitigate operational risks related to investment processes, data integrity, system workflows, and internal controls.
- Develop and maintain comprehensive documentation, training materials, and quality assurance procedures to support consistency and accountability.
- Support compliance reviews, audits, and other risk management activities related to investment operations.
Qualifications- Bachelor's Degree preferred, preferably in Business, Finance, Economics, Accounting, Information Systems, or a related field.
- Minimum of 7 years of progressive experience in investment operations, portfolio operations, trading operations, or investment data management within financial services.
- Minimum of 3-5 years of leadership or supervisory experience, preferably within an RIA, asset management, or wealth management environment.
- Strong understanding of portfolio management systems, investment operations, reconciliation, custodial integrations, data management, and related operational workflows.
- Experience establishing operational controls, quality assurance processes, exception management procedures, and scalable workflows.
- Experience with Tamarac, GeoWealth, Salesforce, Schwab Advisor Center, Fidelity Wealthscape, Pontera, or other RIA technology platforms strongly preferred.
- Demonstrated ability to lead teams, develop talent, manage complex priorities, and execute process improvement and technology initiatives.
- Strong strategic thinking, analytical, organizational, project management, and problem-solving skills with exceptional attention to detail.
- Excellent communication and relationship management skills with the ability to influence stakeholders and lead cross-functional initiatives.
- Advanced proficiency with Microsoft Office, particularly Excel, Word, and Outlook.
Core Competencies- Leadership and Team Development
- Investment Operations and Portfolio Management Systems
- Data Integrity and Quality Assurance
- Process Improvement and Operational Excellence
- Strategic Thinking and Organizational Effectiveness
- Risk Management and Internal Controls
- Project Management and Change Leadership
- Cross-Functional Collaboration
- Critical Thinking and Problem Solving
- Communication and Relationship Management
$108,000 - $120,000 a year
What We OfferWe offer a highly competitive suite of holistic benefits designed to help our team members balance their personal and professional life commitments. These include options designed to encourage employee's health, happiness, and financial well-being.
- 11 Paid Holidays + 2 Floating Holidays
- Paid Parental Leave
- Paid Volunteer Time
- Flexible Work Schedule
- Highly subsidized Health, Dental, and Vision Plans
- 401k Retirement Account with company match contributions
- Free Mental Health services, Life Insurance, Long & Short-Term Disability Insurance
- Flexible Spending Accounts and Health Savings Accounts
- Employee Financial Education
- Employee Educational Expense Reimbursement
- Employee Charitable Donations
- Employee Referral Incentives
- Employee Team Building Activities
- Employee Assistance Program
