AI-Driven Operations Leader for Financial Services

Business & Estate Advisers, Inc.; Minneapolis (MN); On-site; USD 95,000 - 130,000; Full time

Benefits offered by this job

Licensing Support

Health & Wellness benefits

Life Insurance

Retirement with 401(k) match

Cell Phone Stipend

Flexible Time Off

Job summary

Business & Estate Advisers, Inc. in Wayzata, MN, seeks an experienced Director of Operations to lead day-to-day operations, compliance, and technology for the firm.

This role supervises Investment Operations Staff and Financial Planning Associates and drives the weekly workflow to ensure timely, accurate client service. The candidate will champion AI utilization, oversee regulatory adherence to FINRA/SEC/DOL, and partner with leadership on staffing and IT vendor management to support growth and

Qualifications

• 7–10 years of experience in a financial services office environment.
• Active investment license required (Series 6/7 and 63/65 or 66, as applicable).
• Proficiency in Microsoft 365 (Office).
• Experience with eMoney or other financial planning software preferred.

Responsibilities

• Manage and mentor the Investment Operations Staff and Financial Planning Associates (currently 4 experienced team members).
• Lead weekly Operations Workflow Meetings to coordinate priorities and keep work moving across the team.
• Develop and maintain processes and procedures that make the team more effective and efficient.
• Partner with firm leadership on staffing needs, including hiring and onboarding.
• Oversee special projects and unique client service items, including special client-specific reports, annual tax reminders, RMD calculations, annuity analysis, and blotter review.
• Provide service deliverables for clients who are not formal financial planning or 401(k) clients.
• Administer the firm's compliance program, including annual renewals, routine audits, and updates to Form ADV and other disclosure requirements.
• Ensure operational processes adhere to regulatory requirements (FINRA, SEC, DOL, etc.)
• Manage the firm's IT relationship and vendor services
• Lead the firm's adoption and use of AI tools to improve efficiency, service, and decision-making
• Champion effective use of the firm's CRM (Adviser Engine or similar) and financial planning software (eMoney or similar)
• Perform other duties as assigned by firm leadership

Skills

Attention to detail

Problem solving

Team leadership

AI enthusiasm

Communication

Time management

Regulatory knowledge

Process improvement

Education

Investment license (Series 6/7, 63/65/66)

Financial services experience

Tools

Microsoft 365

eMoney

CRM tooling

Job description

Business & Estate Advisers, Inc. in Wayzata, MN, seeks an experienced Director of Operations to lead day-to-day operations, compliance, and technology for the firm.

This role supervises Investment Operations Staff and Financial Planning Associates and drives the weekly workflow to ensure timely, accurate client service. The candidate will champion AI utilization, oversee regulatory adherence to FINRA/SEC/DOL, and partner with leadership on staffing and IT vendor management to support growth and