The Director of Investment Operations is responsible for leading the firm's investment operations function, supporting advisors, clients, and internal stakeholders across all offices. This individual serves as the operational leader for the wealth management business, ensuring efficient account processing, exceptional advisor service, scalability, and regulatory compliance. Reporting directly to the Chief Investment Officer, the Director will oversee day-to-day investment operations, lead the Investment Operations team, and serve as the firm's subject matter expert on investment platforms and workflows. This is a hands-on leadership role focused on execution, process improvement, and building scalable infrastructure to support continued growth. Responsibilities Operations Leadership Lead investment operations activities, including account opening, maintenance, transfers, trade processing, cashiering, journals, rollovers, and client service requests. Ensure accurate and timely processing through National Financial Services (NFS) and MML Investors Services (MMLIS). Monitor operational activity, maintain service standards, and serve as the primary escalation point for operational issues. Track and report key metrics, including account openings, deposits, advisory assets, and other wealth management activity. Platform Management & Process Improvement Serve as the firm's operational subject matter expert for: MMLIS Wealth Management Services (WMS), Wealthscape, National Financial Services (NFS), Envestnet, MMLIS Workbench, RightBRIDGE. Oversee managed account operations, Envestnet model implementation, and advisory billing. Develop, document, and maintain operational workflows and procedures. Identify opportunities to improve efficiency, accuracy, and advisor experience. Build scalable processes and infrastructure to support future growth. Team Leadership & Development Lead, mentor, and develop the Investment Operations team. Establish service standards, quality controls, and processing expectations. Conduct training and ongoing professional development for operations staff. Participate in recruiting, onboarding, and developing talent through the Capstone Incubator Program. Create career development pathways for future operations professionals and advisors. Advisor Support Act as a trusted operational partner to advisors across the firm. Provide guidance on account servicing, operational best practices, and platform utilization. Assist advisors with complex operational matters and escalations. Coordinate with MMLIS home office partners on exceptions and service issues. Deliver a service experience that allows advisors to remain focused on serving clients and growing their practices. Compliance & Risk Management Ensure all operational activities comply with MMLIS policies, FINRA regulations, SEC requirements, and firm procedures. Partner with Compliance and Supervision teams to maintain operational controls and mitigate risk. Support audits, regulatory reviews, and compliance examinations. Assist with the development and maintenance of written operating procedures and departmental documentation. Additional Responsibilities Support strategic wealth management initiatives and business growth objectives. Participate in departmental and firm leadership meetings as appropriate. Stay informed of industry trends, technology enhancements, and regulatory developments. Perform other duties as assigned by management. Qualifications Bachelor's degree in Finance, Business Administration, Economics, or a related field preferred. FINRA Series 7 and Series 66 (or Series 65 and 63) required, or ability to obtain within an agreed-upon timeframe. Clean regulatory record with no disclosures requiring heightened supervision. Minimum 5 years of experience in investment operations, wealth management operations, or brokerage operations. Minimum 3 years of leadership or management experience. Experience within an independent broker-dealer, RIA, or hybrid wealth management environment preferred. Experience with MassMutual and MML Investors Services platforms strongly preferred. Strong understanding of brokerage and advisory operations. Deep working knowledge of Envestnet, Wealthscape, National Financial Services (NFS), MMLIS Wealth Management Services, MMLIS Workbench, and RightBRIDGE. Familiarity with managed account programs, advisory billing, investment account servicing, and operational workflows. Excellent organizational, leadership, problem-solving, and project management skills. Strong written and verbal communication skills with the ability to effectively partner with advisors, leadership, compliance, and home office personnel. Proficiency with Microsoft Office Suite, including Excel, Word, Outlook, and PowerPoint. Ability to manage multiple priorities and projects in a fast-paced environment. Detail-oriented with a strong focus on accuracy, service, process improvement, and operational excellence. Compensation & Benefits $80,000 to $100,000 annual salary, dependent upon experience, licensing, and qualifications Medical, dental, vision, and life insurance Short-term and long-term disability insurance 401(k) with 5% company match Paid time off and company holidays Professional development and licensing support

Pay:

$80,000.00 - $100,000.00 per year

Benefits:

401(k) 401(k) matching Dental insurance Flexible spending account Health insurance Health savings account Life insurance Paid time off Professional development assistance Vision insurance Application Question(s): Do you have your FINRA Series 66 (or Series 65 and 63) ?

Education:

Bachelor's (Required)

Experience:

Investment Operations:

5 years (Required)

Management :

3 years (Required) Wealth management: 3 years (Preferred)

Microsoft Office:

3 years (Preferred)

License/Certification:

Series 7 (Required)

Location:

Newport Beach, CA 92660 (Required) Ability to

Commute:

Newport Beach, CA 92660 (Required)

Work Location:

In person