About this opportunity
Hudson Wealth Management (Ohio) lists this Director of Operations opportunity in hudson, Ohio. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Key Responsibilities
Operations & Process Management
Design, implement, and continuously improve operational processes across client onboarding, account servicing, trading support, and ongoing relationship management
Identify inefficiencies and lead process improvement initiatives that enhance accuracy, speed, and client experience
Develop and maintain standard operating procedures and internal playbooks across operations, client service, HR, and delegated compliance workflows
Coordinate operational readiness for firm growth, advisor onboarding, client transitions, and complex account structures
Human Resources & People Operations
Own day-to-day HR administration for the firm, including recruiting coordination, offer and onboarding packages, I-9 / employment eligibility, and new-hire orientation
Maintain personnel files, job descriptions, organizational charts, and employment records in accordance with firm policy and applicable law
Administer benefits enrollment, leave tracking, PTO, workers’ compensation notices, and coordination with payroll and benefits vendors
Support performance-management cadence: goal setting, mid-year and annual reviews, documented coaching, and performance improvement plans in partnership with leadership
Coordinate compensation administration (salary changes, bonus processing inputs, licensing stipend / CE reimbursement tracking) with firm principals
Oversee workplace policies and the employee handbook; recommend updates for consistency with Ohio employment law, firm culture, and advisory‑industry expectations
Serve as first-line contact for employee relations matters; elevate sensitive issues (harassment, discrimination, wage disputes, separations) to firm leadership and outside counsel as directed
Manage offboarding: access revocation checklists, equipment return, final pay coordination, COBRA / benefit notices, and knowledge‑transfer documentation
Coordinate background checks, fingerprinting, Form U4 / U5 support, and other pre‑employment or registration steps required for licensed and unlicensed staff
Track required training completion (compliance, cybersecurity, AML, workplace harassment, and firm‑specific modules) and report exceptions to leadership and the CCO
Support a consistent culture of accountability, professional development, and client‑first service across operations and client‑service staff
Compliance Oversight — Delegated Functions
The Director of Operations serves as a designated operations and supervision delegate under the CCO. The CCO retains ultimate responsibility for the compliance program, Form ADV, and regulatory examinations. Delegated duties include:
Execute assigned elements of the firm’s Written Supervisory Procedures (WSPs) and Compliance Manual, including operational testing, evidence collection, and exception logging
Oversee operational aspects of audits, regulatory exams, internal reviews, and mock exams; assemble document production, interview logistics, and post‑exam remediation trackers
Maintain supervision and recordkeeping practices: books‑and‑records inventory, retention schedules, email / archive integrity, and vendor SOC / confidentiality documentation
Administer operational compliance workflows such as new‑account documentation completeness, CIP / AML checklist review, trusted‑contact capture, and household / related‑account coding
Coordinate advertising and marketing operational review intake (submit materials to CCO or designated reviewer; track approvals, version control, and use of approved content)
Support personal trading / code‑of‑ethics administration: collect attestations, hold‑period acknowledgements, and gift‑and‑entertainment logs; elevate exceptions to the CCO
Monitor operational red flags (unsigned documents, stale KYC, failed systematic reviews, vendor outages affecting books and records) and elevate promptly
Assist with Form ADV / CRS operational data gathering
Coordinate cybersecurity and vendor‑risk operational controls: access reviews, MFA enforcement, incident‑response playbook drills, and third‑party due‑diligence files
Maintain the compliance calendar for recurring operational tasks (annual attestations, privacy notices, disaster‑recovery tests, branch / office inspections if applicable)
Document delegated activities sufficiently for CCO review, annual compliance program assessment, and examination readiness
Do not independently interpret novel regulatory questions, amend the Compliance Manual, or sign regulatory filings unless specifically authorized in writing by the CCO or firm principals
Manage and optimize the firm’s technology stack (CRM, portfolio management, financial planning software, document management, HRIS / payroll tools, and compliance archives)
Evaluate, implement, and train staff on new tools that improve efficiency, client service, HR administration, and compliance evidence capture
Serve as the primary internal point of contact for technology, HR, and operations vendors and integrations
Maintain user‑access provisioning and deprovisioning tied to hire / role‑change / termination events
Supervise and develop operations, client service, and administrative team members; participate in hiring decisions for those roles
Foster a culture of accountability, continuous improvement, and client‑first service
Coordinate cross‑functional workflows among advisors, operations, compliance, and leadership
Set clear service‑level expectations and coaching plans for direct reports
Client Experience & Service Excellence
Ensure consistent, high‑quality service delivery across the client lifecycle
Monitor key operational metrics and service levels; proactively address issues
Support special projects related to client transitions, complex account structures, and firm growth initiatives
Provide operational, HR, and delegated‑compliance reporting and insights to firm leadership and the CCO
Assist with budgeting, vendor management, and cost control related to operations, technology, and people programs
Support data integrity and reporting used for client reviews, payroll / benefits, and internal decision‑making
Qualifications
Required
Bachelor’s degree in Business, Finance, Human Resources, or a related field
Progressive experience in operations within wealth management, RIA, brokerage, or financial services
Demonstrated experience administering HR functions (onboarding, benefits coordination, employee relations, performance process) in a professional‑services setting
Strong understanding of RIA operations, client‑service workflows, and the distinction between delegated compliance execution and CCO accountability
Proven experience leading teams and driving process improvement
Excellent organizational, communication, documentation, and problem‑solving skills
High attention to detail and ability to manage multiple priorities in a fast‑paced, confidential environment
Preferred
Experience with common wealth‑management platforms
Series 65, Series 24, or equivalent working knowledge of advisory and supervisory regulations
Prior experience supporting firm growth, technology implementations, M&A / operational integrations, or exam readiness
Project management experience and/or HR certification or compliance operations background
Familiarity with Ohio employment practices and multi‑state remote‑staff considerations
Personal Attributes
Client‑centered mindset with a strong service orientation
Proactive, solutions‑focused, and comfortable taking ownership
Collaborative leader who builds trust across teams
Discretion and professionalism in handling sensitive client, employee, and firm information
Clear judgment about when to act, when to document, and when to elevate to the CCO or principals
Competitive base salary commensurate with experience
Performance‑based annual bonus
Comprehensive health, dental, and vision insurance
401(k) retirement plan with company match
Generous paid time off and paid holidays
Professional development and continuing education support
Location:
Hudson / Akron, Ohio area (hybrid flexibility may be available depending on firm needs)
Reports to:
Firm leadership / Managing Principal (compliance delegated work directed by and reported to the CCO)
Direct reports:
Operations, client‑service, and administrative staff as assigned
This position description describes typical duties and is not an employment contract. Responsibilities may be adjusted to meet firm needs. Delegated compliance authority is limited to the functions listed above and any written designation issued by the CCO.
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Worksite address
hudson, OH, 44236, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.