Director Of Operations at United Capital Financial Partners
Boca Raton, FL, US

The Director of Operations at United Capital is an integral part of our team serving as the true connection between our Corporate Office and our Managing Directors and local office employees. This great communicator, influencer and enthusiastic person will perform as an internal champion to support the vision, positive culture and team spirit of United Capital. The key role of this position is to manage the overall success of many different projects and initiatives by working side-by-side with corporate, field offices and outside vendors. The Director of Operations has a keen eye for budgeting and project managing assignments of all levels. You enjoy and excel at managing the day to day operations of the office including, human resources, communications, investment management, compliance and technology.

This position requires a pro-active approach and an ability to independently carry out the duties of the position. The ideal candidate will exhibit high standards, excellent communication skills, good judgment, and an ability to take initiative, and prioritize daily tasks. The ability to effectively manage time and multi-task with attention to detail is critical to this role. Director of Operations must be confident about decision-making under uncertainty and under extreme time pressure.



Support and promote a positive team culture, champion change so that the reasoning and benefits of change are well understood at the office level.
Ensure new hires receive the appropriate training so that they can become highly productive as quickly as possible.
Certified interviewer at the office level. Manage the internal hiring process for all new employees ensuring defined process is followed and appropriate paperwork completed and submitted to People & Organization Department
Ensures benefit enrollments, performance reviews, salary increases and bonuses are completed and submitted to People and Organization Department (DOO may not be involved in the content or decisions, but does ensure completion by office team and MD to meet deadlines)


Act as central point of communication within the office. Communicate, promote and support initiatives and goals communicated through the DOO channel.

Attend all Director of Operations Communication and Training Calls and Meetings; including Annual Conference

Leverage Get Connected (weekly Newsletter) to ensure all initiatives, changes and updates are communicated to team

Hold and facilitate weekly or bi-weekly staff meetings with your team by utilizing Meeting-in-a-Box

Hold weekly or bi-weekly one-on-one meetings with your Managing Director/s

Hold weekly or bi-weekly one-on-one meetings with any Direct Reports

Serve as the liaison with custodians, corporate departments and third party vendors

Operational Excellence

Facilitate weekly Case Prep meetings, ensuring team is ready and prepped for upcoming client meetings

Ensure Salesforce is properly used and maintained by all in the local office

Ensure offices support United Capital’s Unified Branding; and leverages standard UC collateral


Facilitate weekly Case Prep meetings, ensuring team is ready and prepped for upcoming client meetings

Ensure Salesforce is properly used and maintained by all in the local office

Ensure offices support United Capital’s Unified Branding; and leverages standard UC collateral


Ensure local office is following to United Capital’s compliance standards and protocols

Oversee the submission and review process for all marketing materials

Manage and oversee the compliance annual review process, as well as the Quarterly Office Review Form

Investment Management Operations

Actively manage and oversee the fee audit process by ensuring the performance on the security, portfolio and household level is calculated correctly and timely
Provide oversight on Trading to ensure trades are placed within model and according to adviser/client intentions
Ensure the quality of the portfolio accounting is accurate and timely


Partner with Managing Director on preparation and creation of annual budget process

Oversee the budget and manage local office A/R

Submit, review and process all invoices, check requests and office expenses


Participation and attendance on Technology & Platform related calls

Willingness to participate on special task forces to provide feedback on new corporate wide initiatives

Maintain copies of the Business Continuity Plan and understand the execution of it


Active participation on all Certification related calls; Track progress on Certification Dashboard

Strive to maintain a B or Better in each criterion for a Certified Office

Coordination of internal resources to achieve or maintain Certified Office Status

Ensure local office staff is focusing on improvements to adhere to Certification standards


Manage and coordinate internal and external resources to bring on recruits
Manage and coordinate organic growth strategies through Campaigns in Salesforce


Experience and Education:

A bachelor’s degree and/or related work experience is preferred

Ideally 5-6 years of experience in a financial services firm running the day to day operations

Strong management experience demonstrated through leading a team of 2 or more, either through reporting structure or special projects

Series 65 preferred

Experience working with multiple offices a plus

Experience with sourcing candidates and interviewing

Experience with Securities, Financial Planning, Investments and Insurance a plus

Experience working with various Custodian Platforms (Fidelity, Schwab, etc.)

Experience with managing Organic Growth Strategies a plus

Skills and Knowledge:

Excellent communication skills (verbal, written and listening)
Proficient in Microsoft Office Suite required
Knowledge of FRX or other computerized accounting systems preferred
Proficiency in Salesforce or other CRM preferred
Knowledge of Broker Dealer and Investment Advisory Regulations a plus
Ability to manage a budget and a P&L
Proficient in Google Apps.