Director of Operations, Investment Services

Overview

Job Title:
Director of Operations, Investment Services

Location:

Fremont, CA
Hiring Salary Range: $ – $ annually

Position Summary

Fremont Bank — one of the Bay Area’s most respected and long-standing financial institutions — is seeking a strategic, hands-on professional to join and help advance our Investment Services team. This is a high-impact opportunity to contribute to the success of a mission-driven organization committed to excellence, community service, and strong client relationships. If you re energized by purpose-driven work, collaboration, and delivering meaningful results, we’d love to connect.

Why Fremont Bank?

Founded in 1964, Fremont Bank is one of the oldest independently owned banks in the Bay Area and has been consistently recognized as a Top Workplace for the past 15 consecutive years. Our foundation is built on relationships — with our clients, our associates, and our communities.

• A people-first culture grounded in inclusion and excellence
• Deep community involvement and local reinvestment
• A mission-driven workplace where values and performance go hand in hand

The Fremont Bank Way

• Full-Service Banking with comprehensive financial solutions, advanced technology, and exceptional service
• No-Compromise Approach — we help clients get to "yes"
• Core Values:
  oGo above and beyond for clients
  oFoster a supportive and empowering environment for associates
  oDeeply invest in the well-being of our local community

Position Overview

The Director of Operations, Investment Services, will provide a range of services and support to Financial Advisors, Sales Assistants and Management. These services include but are not limited to, various reports, facility management, work as intermediary to the Bank, expense approval and vendor management due diligence.

Role and Responsibilities

Office Management: The role will also back up the Senior Director Operations, Wealth Management

• Ensure all accounting bills and credit card payments are current. Also, ensure payments are assigned to the correct GL’s and cost center.
• Perform and coordinate all Vendor Management due diligence reports and files.
• Provide support for the appropriate departmental committees; BISC.
• Research client records, contracts, agreement, etc., and respond to inquiries. Communicate with clients as appropriate.
• Coordinate the data flow from the external partners, LPL to Fremont Bank. This includes Fremont Bank’s data warehouse and/or assist with the client portfolios of the Private Bankers.
• Coordinate all office technology for Investment Services, to include ordering Laptops, cell phones, I-pad, and ensuring appropriate approvals and access for all job functions.
• Coordinate training, communications, and service with all partners; LPL, DOI, FINRA & Fremont Bank.
• Coordinate and assist with all Marketing supply ordering, stationary, and all other office supplies.
• Coordinate and communicate the department Disaster Recovery Plan. Ensure that the plan is up to date and coordinate with the plan for the Bank.

Investment Services: The role also has the responsibility of expense and bill management, database accuracy and management.

• Lead, supervise and oversee the Investment Administrative Team, including but not limited to Wealth Management Sales Assistants, Registered Sales Assistants, Administrative Assistants, etc.
• Coordinate the appropriate licensing documentation of all branches, Private Bankers, Financial Advisors, and Registered Sales Assistants and Administrative Assistants in Investment Services.
• Identify service efficiencies, process improvements, and service delivery using creative and proactive measures.
• Coordinate and assist with training on all Investment Services systems including Morningstar, Red Tail, Wealthbox, Salesforce etc.
• Maintain and ensure all Complaints are filed with appropriate entitiy. Oversee all Complaint reporting to Management.
• Oversee and maintain all weekly, monthly quarterly and annual reports. Including but not limited to Private Banking Tracking, Operational Integrity, Complaint Reports, Financial Advisor tracking, etc.

Qualifications and Education Requirements

• Bachelor’s Degree is required. Master’s degree preferred.
• 5+ years of…