Director of Investment & Advisory Operations

Business & Estate Advisers, Inc.; Minneapolis (MN); On-site; USD 95,000 - 125,000; Full time

Benefits offered by this job

Licensing support

Health & wellness benefits

Company-paid life insurance

401(k) with company match

Cell phone stipend

Flexible time off

Job summary

Business & Estate Advisers, Inc. is seeking an experienced Director of Operations to lead day‑to‑day operational, compliance, and technology functions. You will manage the Investment Operations Staff and Financial Planning Associates, run weekly workflows, and champion AI to improve efficiency and client service.

The role requires 7–10 years in a financial services office and an active investment license. This is a full‑time, in‑office position in Wayzata, MN with a focus on regulatory adherence

Qualifications

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

Responsibilities

• Lead weekly Operations Workflow Meetings to coordinate priorities.
• Develop and maintain processes to improve efficiency.
• Oversee compliance program including Form ADV updates and audits.
• Manage IT relationships and adoption of AI tools.
• Oversee Investment Operations Staff and Financial Planning Associates.

Skills

Attention to detail

Leadership / people management

Communication

Problem solving

AI adoption / tech enthusiasm

Education

Active investment license (Series 6/7 and 63/65 or 66)

Tools

Microsoft 365 (Office)

eMoney

CRM systems (Adviser Engine or similar)

Job description

Are you a proactive, detail-oriented person who enjoys problem solving and working alongside a small, close-knit team? Are you excited about using AI and technology to make an office run better, and do you thrive on building processes rather than just following them? If so, the Operations Manager position at Business & Estate Advisers could be for you!

Business & Estate Advisers is an independent financial services firm based in Wayzata, MN, established in 1977, and specializing in comprehensive financial plans, custom designed retirement plans and business transition plans. The Operations Manager is an integral member of this team and requires a bright, hardworking, personable individual who demonstrates strong attention to detail and the ability to multi-task on a regular basis. This is a unique opportunity to help lead operations, compliance, and technology as the firm continues to grow!

Job Summary

The Director of Operations will lead the day-to-day operational, compliance, and technology functions of the firm. This position manages the Investment Operations Staff and Financial Planning Associates, runs the firm's weekly operations workflow process, administers the firm's compliance program, and champions the firm's use of technology and AI to improve efficiency and client service.

Essential Duties and 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

Core Competencies

• Strong attention to detail and reliable follow-through
• Genuine curiosity and a drive to continuously improve how things are done
• Excited about and embraces AI and new technology (Claude experience a plus)
• Comfortable working in, and leading, a small, close-knit team
• Strong organizational, time‑management, and prioritization skills in a fast‑paced environment
• Ability to delegate tasks with clear direction and follow up effectively
• Strong written and verbal communication skills, with the ability to work well with staff, clients, vendors, and outside partners
• Working knowledge of financial industry regulations and investment/insurance products

Experience and Education Requirements

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

Physical Demands

This is largely a sedentary role, and it may involve repetitive motions in the hands/wrists as this role is dependent on consistent computer use during the workday.

Position Type and Expected Hours

This is a full‑time, in‑office position. Typical days and hours of work are Monday‑Thursday 8am – 5pm and Friday 8am – 12pm. Regular, in‑person work in the Wayzata, MN office is required.

• Licensing Support: We cover exam and prep material costs for industry licenses. Paid time off provided for required in‑class training, testing, and CE.
• Health & Wellness: Cafeteria‑style benefits plan (eligible after 2 months) with $600/month toward health, dental, vision, and HSA options. Company‑paid long‑term disability coverage (60% of salary).
• Life Insurance: Company paid employee life insurance of $50,000.
• Retirement: Safe Harbor 401(k) with 4% company match, plus potential profit‑sharing contributions. Eligible after 2 months; prior 401(k)/IRA rollovers accepted immediately.
• Cell Phone Stipend: $50/month reimbursement toward your phone plan.
• Flexible Time Off: No rigid vacation/sick day policy - we trust our team to manage their own time responsibly while meeting business needs. Paid time off, managed with flexibility and mutual trust.

Learn More

Learn more about us on our website: https://business-estate.com/