Position Overview

The Financial Planning Operations Director is responsible for overseeing the day-to-day operations of the financial planning function, ensuring delivery of consistent, high-quality client experience. This role will lead planning operations, optimizing processes, managing team performance, and partnering closely with advisors and leadership to drive growth and efficiency.

Key Responsibilities

Operational Leadership & Management

• Oversee the daily operations of the financial planning department, including workflow management, case assignments, and delivery timelines.
• Develop, document, and refine standard operating procedures (SOPs) to ensure consistent, high-quality planning outcomes.
• Implement and monitor key performance indicators (KPIs) to measure operational effectiveness and drive continuous improvement.

Team Leadership & Development

• Lead, mentor, and develop financial planning professionals and support staff.
• Conduct regular weekly check-in meetings, provide coaching, & identify training needs.
• Foster a culture of accountability, collaboration, and client-centered service.
• Support hiring, onboarding, and training for new team members.

Financial Planning Processes & Quality Control

• Oversee the preparation and review of weekly progress reviews and comprehensive financial plans, ensuring accuracy, completeness, and adherence to firm standards.
• Create and maintain quality control processes for client meetings and plan deliverables, including plan assumptions, projections, and recommendations.
• Ensure that planning recommendations are consistent with internal guidelines, regulatory requirements, and client objectives.
• Partner with advisors to interpret complex planning scenarios and provide guidance on plan design and implementation.

Technology, Systems & Data Management

• Oversee the effective use of task management systems, financial planning software, CRM platforms, and electronic filing solutions such as Asana, eMoney, Wealthbox, and Egnyte.
• Collaborate with the Director of Firm Operations/Technology and the Integrator to implement technology improvements, streamline workflows, ensure data integrity, and resolve system and integration issues.

Compliance & Risk Management

• Ensure progress reviews and planning processes and documentation meet regulatory, compliance, and firm requirements.
• Partner with compliance to support audits, regulatory reviews, and oversight of planning-related activities.

Strategic Projects & Firm Initiatives

• Lead and participate in special projects related to process improvement, client experience, new services, business growth, and present reports to leadership.
• Provide operational input on new planning offerings, pricing structures, and service models.

Qualifications

• Bachelor’s degree in Finance, Business, Accounting, or related field required.
• CFP® (Certified Financial Planner) designation required.
• Minimum of 5 years of experience in financial planning, wealth management, or a related field.
  

Skills & Competencies

• Strong understanding of comprehensive financial planning (retirement, investments, tax, estate, insurance, cash flow, etc.).
• Demonstrated leadership, coaching, and people management skills.
• Excellent organizational skills with the ability to manage multiple priorities and deadlines.
• Strong analytical and problem-solving abilities; comfortable with data and reporting.
• High proficiency with financial planning software and CRM systems.
• Exceptional communication skills, both written and verbal.
• High level of professionalism, integrity, and commitment to client service.

Firm Core Values and Expectations

All team members are expected to consistently demonstrate and uphold the core values listed below in interactions with clients, colleagues, and strategic partners. The Financial Planning Operations Director plays a visible and influential role in modeling these values daily.

• Unwavering Dedication
• Do the Right Thing
• Collaboration
• Positive Energy

Adherence to these core values is a foundational expectation of this role and is integral to performance, growth, and long-term success within the firm.