Operations Director: AI-Driven Finance & Compliance Leader

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

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