Vice President of Investment Operations - RIA
Prosperity Capital Advisors (PCA) and Valor Capital Management (VCM) are seeking a highly focused and experienced Vice President of Investment Operations to support its turnkey asset management program (TAMP) platform as well as it’s corporate RIA. This position will lead a team that provide operational support and a superior service experience to Prosperity Capital Advisors and Valor Capital Management Investment Advisor Representatives and their clients. This position reports to the President.
- Responsible for managing day-to-day operations of all advisory platforms and asset management programs.
- Technology development & execution for operational efficiency.
- Mastery of Orion portfolio management software, including expertise in trading, billing, sleeving, data integrity & management.
- Coordination & innovation of the account opening process to ensure efficiency, quality, and ease of doing business.
- Lead, manage, and hold accountability of the account opening, trading, and billing processes.
- Support the sales team in new advisor onboarding and transitions.
- Build & deliver operational training to all advisors and their support staff.
- Lead team to deliver the highest level of operational efficiency and customer service to our Investment Advisory Representatives (IARs), other RIAs, and their clients.
- Identify and create operational process improvements and coordinate with key leaders throughout the Enterprise.
- Responsible to effectively manage vendor and strategic partner relationships in an effort to provide technology solutions that make it easy to do business with PCA and Valor.
- Develop written procedures when new products are introduced, or system changes are implemented.
- Manage staffing, work schedules and monitoring of multiple call/workflow queues to ensure that department standards and company guidelines are met.
- Develop and manage weekly, monthly, quarterly, and annual sales numbers and measures of asset flow.
- Conduct EOS (Entrepreneurial Operating System) weekly level 10 meeting structure, quarterly conversations, and weekly same-page meetings.
- Service and make tactical recommendations related to the allocation of resources in an effort to ensure adherence to service level standards.
- Serve as a Team Leader and assist with escalated issues as needed, including exception requests from Advisors.
- Liaison to our customers and service vendors – Including TD Ameritrade, Fidelity, Orion Advisor Services, Fusion Elements, etc.
- Support the CCO and Senior Compliance Officer by having monthly calls and assisting with the annual testing of the compliance program.
- Member of the Investment Platform Committee – Attend and actively participate in all meetings and assist the committee in decisions by providing insight into best execution of investment ideas.
- Provide guidance to the Operations team in resolving issues when needed.
- Serve as point person in completing all Requests for Proposal (RFP), Request for Information (RFI), Due Diligence Questionnaires (DDQ) on behalf of PCA and Valor.
- Assist the PCA & Valor President & CEO with special projects.
The above areas of responsibilities are not exhaustive and may continue to evolve.
Educational Background and Licensing
- Must have advanced experience in building, developing and managing advisory platforms
- Must have extensive knowledge of all investment products, including Mutual Funds, EFTs, TAMPs, Fixed Income securities, Fund Strategists, and UMA and SMA platforms
- Must have extensive knowledge and experience working with Orion Portfolio Management Software
- Must have extensive knowledge and experience working with TD Ameritrade and/or Fidelity
- 10+ years of advanced experience in RIA Operations, with at least 5 years management experience
- Excellent interpersonal skills and a collaborative management style
- Strong customer service skills
- Outstanding written communication skills
- Must be able to understand and analyze financial reports and date
- Bachelor’s degree in accounting, business, finance or a related field
- Series 65 (required)
- Experience working with Fixed Insurance & Annuities is a plus
- Proficiency with Microsoft Office Suite, with advanced knowledge of Microsoft Excel
Please send your resume, brief bio, and cover letter with salary requirements to:
Brenda LeBlanc email@example.com
Four Companies. One Vision.
C2P Enterprises is a holding company comprised of four distinct brands, each designed to simplify financial planning for advisors and the clients they serve. United by the vision to provide planning and financial products in the best interest of the client, each company offers education, training, resources and tools to meet a client’s unique financial situation, along with access to an array of investment and insurance vehicles to help accomplish their goals. Learn more at https://c2penterprises.com
Prosperity Capital Advisors
Prosperity Capital Advisors is a planning-first, SEC-registered investment adviser (RIA) that equips advisors with an array of fee-based financial planning and investment solutions to meet their individual clients’ unique needs. It offers advisors a full-service investment platform for turnkey asset management as well as tools and resources to build holistic financial plans. Prosperity is custodian agnostic and provides affiliated advisors extensive support, advanced portfolio analytics and reporting, and investment product due diligence and selection.
Valor Capital Management
Valor Capital Management (Valor) is an SEC-registered investment adviser firm operating as a Turnkey Asset Management Program (TAMP). It has aligned with world-class investment managers to provide registered investment advisors an investment platform of core and specialized strategies to meet the unique needs of their advisors and clients.
By providing strategic management through a diverse lineup of core model portfolios alongside a customizable specialized offering of unique niche investment strategies and solutions, Valor helps RIAs and their advisors navigate the right investment offering, blended portfolio design, and operational implementation to meet the unique needs of their clients.
Clarity 2 Prosperity
Clarity 2 Prosperity is a financial training, coaching and IP development organization that offers financial advisors turnkey financial planning, practice management and marketing processes. Its mission is to help advisors shift from a transactional mindset to holistic planners who offer best interest advice by coordinating all areas of their clients’ financial lives including investments, insurance, tax, estate, Social Security, retirement income and healthcare planning.
Clarity Insurance Marketing
Clarity Insurance Marketing is a best interest-focused insurance marketing organization (IMO) that facilitates advanced product screening, selection and support for all lines of fixed insurance products, such as fixed and indexed annuities, single premium and traditional life insurance and asset-based long-term care products. It works to create efficient back-office support and quality service standards to help advisors issue new business quickly, accurately and effectively.