CCG Advisors (San Diego) is a Registered Investment Advisory firm located in San Diego, CA that provides wealth management services to affluent families, local businesses, and charitable organizations. Our team of financial professionals have worked together since 2005 to deliver investment management services, together with financial, tax, and legacy planning.
We recognize that our strength and success are linked to the quality and skills of our associates, and are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals.
CCG Advisors is seeking a Director of Investment Operations & Compliance to join a highly talented team of wealth management professionals to support the broad framework of wealth management solutions provided by the firm and its affiliated parties. If you are a passionate individual with high integrity, possessing strong leadership skills, and a commitment to the highest standards of excellence, we look forward to speaking to you about the opportunity.
Duties and Responsibilities
1. Analyze existing service offering (people, product, systems, and processes) and identify opportunities to create back-office efficiencies
2. Support Alternative product ideation & platform formation
3. Supervise one or more analysts engaged in financial service operations: client services representative, case manager, analyst, reporting positions.
4. Manage systems and software – Orion, SalesForce
5. Develop repeatable processes and workflows to support delivery of service offering
6. Lead accurate and timely performance reporting for monthly, quarterly and annual reporting and billing purposes
7. Manage audits to provide information related to external SEC reporting requirements
8. Pursue alpha by tapping industry best practices & studying Fintech advancements
1. Manage firm compliance program to ensure regulatory requirements are met, and that policies and procedures are kept current
2. Supervise advisor and staff adherence to firm compliance policies and procedures
3. Develop and maintain an annual assessment of the adequacy and effectiveness of policies and procedures for current and new regulatory requirements
4. Develop and ensure delivery of compliance training to internal staff as required – collaborate with financial operations.
5. Maintain CCG’s required registrations
1. Manage people, processes, and technology across all departments to ensure that:
a. system architecture is aligned with business goals,
b. system design is consistent across all lines of business, and
c. implemented solutions add real business value
2. Maintain an organized work structure to effectively hit set goals and objectives
3. Work with department managers and staff effectively, and foster inter-departmental culture
4. Manage projects in support of the continual development/execution of firm strategic initiatives
5. Set integration goals, create roadmaps, develop work flows, identify required resources, troubleshoot issues, and track project progress
6. Provide supervision, coaching and leadership to team members
7. Forge strong relationships with colleagues both within the company and with outside business partners
Skills and Abilities
1. Comprehensive knowledge & understanding of financial services and asset management industry
2. Technology adopter with in-depth experience using Analytical Tools & Database applications (Orion, Hidden Levers, Right Capital)
3. Experience using CRM systems and applications (Salesforce, Box.com, DocuSign)
4. Exceptional project management skills, with a demonstrated ability to establish project objectives, build work plans, assemble teams, and deliver results
5. Excellent communication skills, with proven ability to work cross-functionally within an organization
1. Minimum of Bachelor’s degree in related field: Business, Accounting, Finance
2. MBA a plus
3. Minimum 10 years experience working in financial services, wealth management insurance RIA, brokerage firm required.
4. Hands-on operational experience with registered investment advisors
5. Knowledge and understanding of federal securities laws and regulations applicable to registered investment advisors.
6. Advanced experience with Salesforce and MS applications required
7. Orion experience highly preferred.
licenses and certifications
Series 65 required
benefits and applications
CCG is proud to provide our employees a work environment that is challenging and rewarding. We offer competitive compensation including salary and bonuses. We also offer full health plans and other perks including Waffle Wednesday Breakfast served by company Managing Directors weekly and free Gym access
Interested and qualified candidates should provide resume with general salary requirements. We value diversity and are proud to provide a work place free of harassment and discrimination.
About CCG Advisors:
CCG Advisors is a San Diego based investment advisory firm, comprised of financial professionals working together to deliver wealth management services to affluent clientele. Advisory professionals have worked together serving this group of clients since 2005. The company has a very tenured and mature client base.
Company address:Carmel Mountain Road San Diego, CA 92130