Broker Check

Full-Time Position Open- Accepting Resumes


Position: Operations Manager for CFP® Office  

San Diego Wealth is a Financial Planning and Investment Management firm serving individuals, families, and businesses. We help our clients connect to a life of meaning, find their inspiration, and live into their dreams. Our central purpose as a business is to effect positive change in people’s lives leading them to greater freedom and happiness!

About us:

  • We are kindred spirits who LOVE life, our work, our families, our friends, and the people we serve
  • We live with INTEGRITY by doing what we say and saying what we mean, all with transparency and disclosure
  • We are COMPASSIONATE people who understand that we are all human and thus seek the best for everyone equally and unconditionally
  • We are about GROWING and learning to evolve as better citizens of our planet and making a greater contribution to those we touch
  • We like to have FUN and see the joy in everything we are, do, and have

We are growing and seeking to add new members to our team to provide best in class support to our clients and each other

If you’re passionate and good at…

  • Managing and overseeing operational and administrative responsibilities
  • Being a team player with a focus on keeping an office of 10 people running smoothly
  • Advocating for and supporting clients and staff through managing processes and systems
  • Improving and maintaining operational efficiencies

Here’s what the position primarily entails…

Office and Business Management
Ensuring the office is running smoothly, maintaining a good working environment for all team members, and focusing on supporting a positive experience for both clients and staff

Computer System: Coordinating & overseeing, with IT Consultant, all hardware and software. including administration of Microsoft 365’s cloud subscription service, connected systems, and physical workstations

  • Redtail CRM: Supporting and overseeing best practices, maintenance and training for data and information management
  • Office Equipment: Supporting the usage and maintenance, coordinating with owner on office budget
  • Marketing and Client Communications: Monitoring supply levels of company stationary, envelopes, business cards, folders and other collateral client and prospect facing materials
  • Office Supplies: Ordering and maintaining inventories for all basic office supplies
  • Business Insurance: In conjunction with ownership, administering company liability, cybersecurity, and workman’s comp insurance along with required bonding for 401k plan

Compliance and Regulatory Requirements
Ensuring all activities of the office and branch are in compliance with our Broker/Dealer, FINRA, and SEC, along with California insurance regulations and best practices

  • Branch Office Exams: Aiding in preparation, implementation and follow up as needed
  • Regulatory Matters: Preparing, implementing, and following up on new regulatory initiatives from the regulators or Broker/Dealer
  • Advertising and Compliance: Overseeing compliance of all broadcast client and marketing communications, presentations, stationary, business cards
  • Documentation and Storage: Overseeing proper documentation, including ensuring meeting notes are up to date in Redtail and required files are up to date on Broker/Dealer platform
  • Cybersecurity: Responsible for ensuring all cybersecurity protocols are being followed and keeping an active eye on potential issues or gaps in our systems or procedures
  • Procedures: Overseeing the adherence to firm standards and procedures for customer service.

Human Resources
Providing administrative support and ensuring adherence to requirements for the Company’s people

  • Hiring and Onboarding: From preparing and placing of ads through shepherding new hires through onboarding and benefits package completion
  • Benefits Administration: Overseeing and administering of all employee benefits programs, including various insurance plans, 401k plan (in consultation with Third Party Administrator), and Professional Growth & Development stipend.
  • Payroll: Overseeing and coordinating with our payroll service to ensure accuracy and timely delivery along with keeping salary records
  • Staff Reviews: Scheduling, coordinating, and documenting all employee reviews
  • Training: Helping manage the training of new employees. Working with other staff to ensure necessary training manuals and ensuring best practices are carried out in each department.
  • Conflict Resolution Support: Teaming up with our Team Development person to handle and document employee conflict or issues of concern requiring intervention, etc.

Customer Service
Helping support the efforts of the advisory teams to ensure clients are happy and satisfied with the level of service they are receiving

  • Firm’s Standards: Establishing, training on, and monitoring adherence to all customer service policies to ensure top level service. Helping with the creation of improvements to our policies and procedures
  • Admin Service Back Up: Filling in as needed for absent admin staff, taking incoming calls, coordinating needed support from other staff members

We’ll provide you with…

  • Support to grow and thrive: Proactive leadership internally to support professional and personal growth in areas of unique ability and discovering your strengths
  • Unlimited PTO policy: Industry leading flexible policy supporting your health and overall well-being
  • Health and Section 125 Cafeteria Plan: Company contribution to total premium of chosen coverages and 125 plan to allow for pre-tax deferrals of employee portion of premiums
  • Voluntary Insurance Coverage: Additional vision and dental plans
  • Life and Disability Insurance: Additional coverage through industry association (premium reimbursed)
  • Company 401k Retirement Plan:  Both traditional and self-directed brokerage investment options, including Roth option. Currently with a company match
  • Professional Growth and Development Stipend: Annual “spending account” to be used towards increasing professional knowledge and skills
  • Personal Financial Planning: Complimentary financial planning from one of our Certified Financial Planner™ professionals on staff.

We look forward to getting to know you and exploring if we are good fit for each other.

Qualifications…

  • Bachelor’s degree
  • Minimum two years’ experience working in a management position
  • Five years of experience in a RIA financial planning office of a broker dealer. (Experience with SagePoint Financial or another Advisor Group BD a plus)
  • Working knowledge of human resources, compliance, and regulatory environment
  • Clean FBI fingerprint/background check per FINRA and Broker/Dealer requirements
  • Intermediate to Advanced knowledge of MS365 (cloud-based Office) and Azure cloud administration.

Compensation…

  • $65,000-$75,000/year, depending on experience, education, and training

 

Send your resume to…

Our Process

We create strategies that are tailored to your needs and goals.

Our History

Years of experience have prepared us to guide you through your life transitions.

Our Values

Take the mystery out of investing and preserving wealth.

Client Centered

Client Centered

Our reasons for becoming financial professionals are deeply personal. We repeatedly saw many friends and family struggling to find the help they needed to map out their financial future. We are confident that with our understanding of personal finance, coupled with our training as financial professionals, we can help people better prepare for the future.

Passion for Excellence

Passion for Excellence

We offer personalized, hands-on service. We educate our clients about financial concepts and products, and take the mystery out of investing, insurance, estate conservation, and preserving wealth.

Learn More About our Opportunities

Learn More About our Opportunities

Call us: 858.270.7705

Email: contact@sandiegowealth.com