Director of Operations

2 weeks ago

Ontario ON, Canada The Vantage Talent Group Full time

The Director of Operations is a key member of the leadership team, responsible for overseeing the firm's day-to-day operational activities, optimizing internal processes, ensuring regulatory compliance, and enabling advisors and staff to provide exceptional client service. This role balances strategic leadership with hands-on operational management in a fast-paced, client-centric environment.Key ResponsibilitiesOperational Leadership & ManagementOversee daily business operations across all departments, ensuring smooth, efficient workflows.Develop, implement, and maintain operational policies, procedures, and best practices.Identify opportunities to improve efficiency, reduce risk, and enhance the client experience.Manage operational budgets, vendor relationships, and internal resources.Regulatory & Compliance OversightEnsure the firm meets all regulatory obligations under Canadian financial services rules (IIROC, MFDA/FSRA, FINTRAC, privacy laws, etc., depending on the business model).Maintain compliance documentation, internal audit processes, and risk-management frameworks.Provide guidance to staff on regulatory requirements and changes impacting the business.Team Leadership & DevelopmentLead, coach, and mentor operational and administrative staff.Develop training programs to strengthen skills, enhance service standards, and uphold compliance.Foster a culture of accountability, collaboration, and continuous improvement.Technology & Process OptimizationLead initiatives to modernize systems, implement digital tools, and improve data management.Oversee CRM, financial planning software, workflow tools, and cybersecurity practices.Partner with advisors to ensure technology solutions support scalable growth.Client Service SupportEnsure high service standards and timely resolution of operational or administrative issues.Oversee onboarding processes, documentation accuracy, and ongoing account maintenance.Support advisors in delivering a superior client experience.Strategic Planning & Firm GrowthCollaborate with leadership on long-term strategic planning and operational readiness.Support new business initiatives, expansion projects, and process transformation efforts.Provide reporting and insights to guide decision-making.QualificationsEducation & ExperienceBachelor's degree in business, finance, accounting, or related discipline (MBA or professional designation considered an asset).7+ years of progressive operational experience within financial services (wealth management, advisory, brokerage, or insurance environment preferred).Demonstrated leadership experience in a small or midsize firm environment.Skills & CompetenciesStrong understanding of Canadian financial services regulations and compliance requirements.Exceptional organizational, analytical, and problem-solving skills.Proven ability to lead teams, improve processes, and manage multiple priorities.High emotional intelligence with excellent communication and interpersonal skills.Comfortable working in an entrepreneurial, fast-growing environment.Proficiency with CRM and financial services software platforms.

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