Operations Lead: AI-Driven Efficiency & Compliance

Gilder Search Group; Minnesota; On-site; USD 85,000 - 120,000; Full time

Benefits offered by this job

Licensing support

Health & wellness plan

Company-paid long-term disability

Life insurance

401(k) with company match

Cell phone stipend

Flexible time off

Job summary

Business & Estate Advisers, located in Wayzata, MN, seeks an Operations Manager to lead daily operations, compliance, and technology efforts. You will supervise Investment Operations Staff and Financial Planning Associates and drive the weekly workflow across the team.

The role focuses on enhancing processes, staffing, and regulatory adherence while championing AI and technology to improve client service and efficiency. In-office, full-time with growth opportunities.

Qualifications

• 7–10 years of experience in a financial services office environment.
• 3–5 years of experience managing staff.
• Active investment license (e.g., Series 6/7 and 63/65 or 66, as applicable) 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

Leadership

Regulatory knowledge

Communication

Project management

AI adoption

Education

CFP or ChFC designation

FINRA Series 24 registration

Insurance licenses

Tools

Microsoft 365 (Office)

Adviser Engine CRM

eMoney

Job description

Business & Estate Advisers, located in Wayzata, MN, seeks an Operations Manager to lead daily operations, compliance, and technology efforts. You will supervise Investment Operations Staff and Financial Planning Associates and drive the weekly workflow across the team.

The role focuses on enhancing processes, staffing, and regulatory adherence while championing AI and technology to improve client service and efficiency. In-office, full-time with growth opportunities.