Operations Leader: AI-Driven Financial Services & Compliance

Valmark Financial Group (Business & Estate Advisers, Inc.); Wayzata (MN); On-site; USD 90,000 - 130,000; Full time

Job summary

Business & Estate Advisers seeks an Operations Manager to lead daily operations, compliance, and technology across a small team in Wayzata, MN. You will steer workflow, supervise Investment Operations Staff and Financial Planning Associates, and drive efficiency with AI tools.

The role requires 7–10 years in financial services, staff management experience, and relevant licenses or credentials (Series, CFP/ChFC preferred).

Qualifications

• 7-10 years of experience in a financial services office environment.
• 3-5 years of experience managing staff.
• Active investment license required (e.g., Series 6/7 and 63/65 or 66, as applicable).
• Proficiency in Microsoft 365 (Office).
• CFP or ChFC designation preferred.
• FINRA Series 24 registration preferred.
• Insurance license(s) preferred.
• Experience with Adviser Engine or a similar CRM platform preferred.
• 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 client-specific reports, annual tax reminders, RMD calculations, annuity analysis, and blotter review.
• Administer the firm’s compliance program, including renewals and audits and updates to Form ADV.
• 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

Leadership

Communication

Organization

Education

CFP or ChFC designation preferred

Microsoft 365 (Office) proficiency

Regulatory knowledge (FINRA, SEC, DOL)

Strong regulatory experience

Tools

Adviser Engine CRM

eMoney or similar financial planning software

Microsoft 365 (Office)

Job description

Business & Estate Advisers seeks an Operations Manager to lead daily operations, compliance, and technology across a small team in Wayzata, MN. You will steer workflow, supervise Investment Operations Staff and Financial Planning Associates, and drive efficiency with AI tools.

The role requires 7–10 years in financial services, staff management experience, and relevant licenses or credentials (Series, CFP/ChFC preferred).