Director of Operations

At the United Capital Silicon Valley office, we focus on high net worth families and individuals. The firm’s investment strategy has managed client assets through many market cycles. For those who want to be smart about investing but don’t have the time or training to do it well, we may be the perfect solution.

Job Purpose: 

  • 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.

Your Responsibilities:


  • 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
  • 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

Skills and Qualifications:

  • 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
  • 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.

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More Information

  • Experience 5-7 Years
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Company Information
  • Address Newport Beach, CA
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