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Coastal Virginia Wealth Group – Chesapeake

Position Title: Director of Operations & Compliance Coordinator (Part-Time)
Status: Part-Time (15-25 Hours Weekly)
Location: Chesapeake, Virginia
Reports To: Dan Neice, MBA, CFP®, Founder & Senior Wealth Consultant

Position Summary

Coastal Virginia Wealth Group – Chesapeake is seeking a highly organized, detail-oriented, and proactive Director of Operations & Compliance Coordinator to oversee the daily administrative, operational, and compliance functions of our growing wealth management and financial planning practice.

This position serves as the operational backbone of the firm by ensuring that client service activities, compliance tasks, account processing, advisor support functions, office administration, and staff accountability requirements are completed accurately and on time. The ideal candidate will possess strong organizational skills, leadership abilities, technology proficiency, and a commitment to maintaining the highest standards of client service and regulatory compliance.

The Director of Operations is expected to independently track tasks, follow up on outstanding items, identify operational risks, and ensure that no critical responsibilities fall through the cracks.

Experience with LPL Financial systems and tools are a plus.

Primary Responsibilities

Compliance & Regulatory Oversight (30%)

• Maintain office compliance calendars and deadlines.
• Monitor completion of required compliance tasks.
• Ensure ClientWorks documentation and account records are current and complete.
• Review client files for accuracy and completeness before submission.
• Coordinate regulatory audits, compliance reviews, and examinations.
• Track annual compliance certifications and required firm training.
• Assist with implementation of firm policies and procedures.
• Maintain records retention systems.
• Help administer the firm's Business Continuity Plan and annual reviews.
• Escalate compliance concerns immediately to firm leadership.

Operations Management (25%)

• Oversee daily office operations and workflow management.
• Maintain task tracking systems and accountability procedures.
• Monitor completion of staff responsibilities.
• Conduct weekly operational status reviews.
• Coordinate vendor relationships and office service providers.
• Maintain operational manuals and process documentation.
• Track key business deadlines and recurring responsibilities.
• Verify completion of account processing activities.

Client Service Administration (20%)

• Monitor outstanding client requests.
• Oversee scheduling and coordination of client meetings.
• Ensure Annual Client Advisory Reviews are completed and documented.
• Manage client service workflows.
• Review client correspondence for consistency and professionalism.
• Assist with onboarding new clients.
• Coordinate follow-up activities after client meetings.

Staff Accountability & Project Management (15%)

• Maintain accountability systems for all staff members.
• Conduct weekly task reviews.
• Track due dates and project completion.
• Ensure recurring responsibilities are completed timely.
• Prepare productivity and workflow reports for firm leadership.
• Identify bottlenecks and recommend process improvements.
• Follow up with team members regarding incomplete work.

Office Administration (10%)

• Manage office supplies, facility issues, and vendor services.
• Coordinate technology support with outside providers.
• Maintain contact lists and emergency procedures.
• Assist with event planning and educational workshops.
• Support community outreach initiatives and client appreciation events.

Qualifications

Required

• 3+ years of office management, operations, compliance, financial services, or business administration experience.
• Exceptional organizational skills and attention to detail.
• Strong written and verbal communication abilities.
• Ability to manage multiple priorities simultaneously.
• High level of professionalism and confidentiality.
• Proficiency with Microsoft Office 365.
• Experience maintaining records and documentation systems.

Preferred

• Experience working in a:
• • Registered Investment Adviser (RIA)
  • Financial Advisory Practice
  • LPL Financial Office
  • Banking or Insurance Environment
• Familiarity with:
• • ClientWorks
  • Redtail CRM
  • Wealth Management Operations
  • SEC/FINRA Compliance Procedures
  • Advisory Account Administration

Performance Measurements

Success in this role will be evaluated based on:

• Compliance tasks completed on time.
• Annual Reviews completed and documented.
• Reduction of outstanding operational items.
• Accuracy of account paperwork submissions.
• Timely resolution of client service requests.
• Maintenance of compliance calendars.
• Staff task completion rates.
• Quality of operational reporting.
• Office organization and efficiency.

Personal Characteristics

The ideal candidate is:

✅ Highly Organized
✅ Process Driven
✅ Assertive but Professional
✅ Detail Oriented
✅ Trustworthy and Confidential--High Integrity
✅ Self-Motivated
✅ Technology Savvy
✅ Comfortable Holding Others Accountable
✅ Positive and Client-Focused

Compensation Range

• Part-Time: $28–$40 per hour (Based on Experience) plus Discretionary Annual and/or Quarterly Bonuses

Coastal Virginia Wealth Group is a leading financial advisory firm dedicated to providing tailored wealth management solutions to our clients. We pride ourselves on our commitment to excellence and our focus on building lasting relationships.