Director of Operations

The Director of Operations is responsible for helping The Goff Financial Group operate efficiently, consistently, securely, and professionally while supporting our high standard of client service. The role combines day-to-day operational leadership with systems and process improvement, human resources administration, risk coordination, vendor and office management, and management reporting.

The position also helps the company attract, develop, retain, and manage employees in a manner that supports business goals, protects clients, maintains regulatory standards, and promotes a professional and ethical workplace culture. The Director works closely with senior management, compliance, advisory personnel, administrative staff, internal IT teams and external IT vendors and other service providers.

• Oversee day-to-day administrative and operational activities and help ensure the firm operates efficiently and consistently.
• Ensure recurring operational tasks and client-service deliverables are completed accurately and on schedule.
• Coordinate workflows between advisory and administrative staff and clarify ownership of recurring operational responsibilities.
• Maintain calendars for recurring firm-wide processes, deadlines, reporting cycles, and client deliverables, including quarter-end reporting.
• Monitor outstanding operational items, identify bottlenecks, and coordinate timely resolution of problems and exceptions.
• Serve as a primary point person for operational questions and help establish consistent service and follow-up standards.

• Regulatory coordination. Work with the compliance officer to track employee licensing, registrations, continuing education, renewals, and required documentation where applicable.
• Employee compliance administration. Coordinate employee disclosures, policy acknowledgments, required training, and documentation related to ethics, conflicts of interest, confidentiality, personal trading, client information, and business conduct.
• Hiring and separation controls. Coordinate with compliance and management on screening, licensed or supervisory roles, employee departures, and related regulatory or internal documentation.
• Employment and operational risk. Maintain appropriate documentation for hiring, discipline, compensation, leave, accommodations, terminations, employee complaints, and other matters that may create regulatory, employment, or operational risk.
• External resources. Coordinate with outside counsel, compliance consultants, HR advisors, insurance providers, or other specialists when issues require additional expertise.
• Regulatory Filings and Notifications:
  Ensure completion of quarterly 13F filings and the Annual Compliance Review. Work with the Compliance Officer on annual filings and notifications including the annual ADV Part 1 and Part 2 updates. and Annual Privacy Notice.

• Workflow design and documentation. Document existing workflows and develop and maintain standard operating procedures for recurring processes.
• Process improvement. Identify inefficient, repetitive, or manual processes and recommend ways to simplify, standardize, or automate them.
• Technology-enabled operations. Improve the use of Excel, CRM, SharePoint, reporting tools, workflow systems, and other firm technology.
• Quality control. Establish checklists, review procedures, and quality-control standards that reduce errors, duplicate data entry, and unnecessary administrative work.
• Technology implementation. Coordinate with internal resources, IT providers, and vendors on technology implementations, upgrades, troubleshooting, and user adoption.
• Technology evaluation. Help senior management evaluate new software, automation opportunities, and technology solutions that can improve efficiency, security, scalability, or service quality.

• Recruiting and hiring. Manage recruiting for open positions, including job postings, candidate screening, interview coordination, reference checks, background checks, hiring…