About this opportunity
Radiant Capital lists this Director of Investment Operations opportunity in birmingham, Alabama. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Company Description Radiant Capital provides comprehensive financial planning designed to help clients steward their resources with clarity and intentionality. The firm focuses on building long-term strategies that support financial security and help ensure families are well cared for across generations. Radiant Capital partners closely with clients to understand their goals, values, and risk tolerance, offering tailored advice and solutions. The organization emphasizes trust, transparency, and thoughtful guidance to support informed decision-making and lasting financial well-being.
Position Summary
The Director of Investment Operations provides strategic and operational leadership for all investment operations activities across the firm. This role ensures efficient execution of investment management services, operational excellence, regulatory compliance, and an exceptional client experience while enabling advisors to focus on relationship management and business growth.
Key Responsibilities
Lead day-to-day investment operations, including direct-to-fund activities and related operational workflows.
Design, implement, and continuously improve scalable processes, automation initiatives, and service models.
Oversee account administration, maintenance, cashiering, disbursements, order processing, and client service requests.
Provide operational reporting, performance metrics, and business insights to executive leadership.
Coordinate business continuity planning and operational readiness efforts.
Compliance and Risk Management
Ensure operational practices align with firm policies, regulatory requirements, and industry standards.
Maintain required compliance records and support regulatory filings and audits.
Partner with supervisory personnel, compliance teams, and home office partners to address risk and regulatory matters.
Leadership and Team Development
Train, mentor, and develop representatives, operations personnel, and support staff.
Conduct operational and regulatory education sessions covering account processing, transfers, mutual fund operations, and investment technology platforms.
Lead regular team meetings to align priorities, monitor performance, and support professional development.
Client Service and Strategic Partnership
Serve as the primary escalation point for complex operational inquiries, trade corrections, and commission adjustments.
Collaborate with Finance, Compliance, Information Technology, and third-party administrators to strengthen business processes.
Support strategic growth initiatives through workforce planning, process optimization, and operational governance.
Qualifications
Bachelor's degree in Finance, Business Administration, Accounting, Economics, or a related field preferred.
Strong knowledge of investment products, account administration, regulatory requirements, and operational best practices.
Excellent organizational, communication, problem-solving, and project management skills.
Proficiency with investment management, custodial, and client service technology platforms.
Series 7 and Series 63 licenses preferred. Candidates who do not currently hold these licenses must be willing and able to obtain both licenses within three (3) months of employment.
Ability to work effectively across departments and manage multiple priorities in a fast-paced environment.
Core Competencies
Investment Operations Expertise
Operational Leadership
Regulatory Knowledge
Process Improvement
Client Service Excellence
Communication and Training
Members of Radiant Capital use Radiant Capital as a marketing name for doing business as representatives of Northwestern Mutual. Northwestern Mutual Private Client Group is a select group of Northwestern Mutual advisors and representatives. Radiant Capital and Northwestern Mutual Private Client Group are not a registered investment adviser, broker-dealer, insurance agency or federal savings bank.
Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) (life and disability insurance, annuities, and life insurance with long-term care benefits) and its subsidiaries, including Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a subsidiary of NM, registered investment adviser, broker-dealer and member FINRA and SIPC and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services) , a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
To view the detailed disclosures regarding individual representatives, view the information at radiantcapital.nm.com
Company Description Radiant Capital provides comprehensive financial planning designed to help clients steward their resources with clarity and intentionality. The firm focuses on building long-term strategies that support financial security and help ensure families are well cared for across generations. Radiant Capital partners closely with clients to understand their goals, values, and risk tolerance, offering tailored advice and solutions. The organization emphasizes trust, transparency, and thoughtful guidance to support informed decision-making and lasting financial well-being.
Position Summary
The Director of Investment Operations provides strategic and operational leadership for all investment operations activities across the firm. This role ensures efficient execution of investment management services, operational excellence, regulatory compliance, and an exceptional client experience while enabling advisors to focus on relationship management and business growth.
Key Responsibilities
Lead day-to-day investment operations, including direct-to-fund activities and related operational workflows.
Design, implement, and continuously improve scalable processes, automation initiatives, and service models.
Oversee account administration, maintenance, cashiering, disbursements, order processing, and client service requests.
Provide operational reporting, performance metrics, and business insights to executive leadership.
Coordinate business continuity planning and operational readiness efforts.
Compliance and Risk Management
Ensure operational practices align with firm policies, regulatory requirements, and industry standards.
Maintain required compliance records and support regulatory filings and audits.
Partner with supervisory personnel, compliance teams, and home office partners to address risk and regulatory matters.
Leadership and Team Development
Train, mentor, and develop representatives, operations personnel, and support staff.
Conduct operational and regulatory education sessions covering account processing, transfers, mutual fund operations, and investment technology platforms.
Lead regular team meetings to align priorities, monitor performance, and support professional development.
Client Service and Strategic Partnership
Serve as the primary escalation point for complex operational inquiries, trade corrections, and commission adjustments.
Collaborate with Finance, Compliance, Information Technology, and third-party administrators to strengthen business processes.
Support strategic growth initiatives through workforce planning, process optimization, and operational governance.
Qualifications
Bachelor's degree in Finance, Business Administration, Accounting, Economics, or a related field preferred.
Strong knowledge of investment products, account administration, regulatory requirements, and operational best practices.
Excellent organizational, communication, problem-solving, and project management skills.
Proficiency with investment management, custodial, and client service technology platforms.
Series 7 and Series 63 licenses preferred. Candidates who do not currently hold these licenses must be willing and able to obtain both licenses within three (3) months of employment.
Ability to work effectively across departments and manage multiple priorities in a fast-paced environment.
Core Competencies
Investment Operations Expertise
Operational Leadership
Regulatory Knowledge
Process Improvement
Client Service Excellence
Communication and Training
Members of Radiant Capital use Radiant Capital as a marketing name for doing business as representatives of Northwestern Mutual. Northwestern Mutual Private Client Group is a select group of Northwestern Mutual advisors and representatives. Radiant Capital and Northwestern Mutual Private Client Group are not a registered investment adviser, broker-dealer, insurance agency or federal savings bank.
Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) (life and disability insurance, annuities, and life insurance with long-term care benefits) and its subsidiaries, including Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a subsidiary of NM, registered investment adviser, broker-dealer and member FINRA and SIPC and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services) , a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
To view the detailed disclosures regarding individual representatives, view the information at radiantcapital.nm.com
#J-18808-Ljbffr
Worksite address
birmingham, AL, 35275, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.