Friends of the Firm Job: The Better Business Bureau, Accounting Manager and an Interim CFO/CEO.

Job #836: Field Director of Operations - Boca Raton, FL (7-17-18)

  • Job Title: Field Director of Operations
  • Location: Florida
  • Salary: Commensurate with Experience ($80,000 - $110,000)

Job Description:

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, Planning & Analysis, analysis of the quarterly operating expenses and revenue for the office, 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.

Essential 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.
  • 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 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
  • 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


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

Investment Management Operations

  • Actively manage and oversee the billing process
  • Running Quarterly performance on the security, portfolio and
  • 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
  • Income Statement forecasting, expense forecasting and revenue forecasting


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

Experience and Education:

  • Bachelor degree in Accounting/Finance
  • CFP and/or CPA preferred
  • 5-7 years financial planning experience in a Financial planning 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
  • Strong analytical skills
  • Strong written and verbal communication/presentation skills
  • Practical experience with Emoney financial planning software
  • Highly Proficient in Excel and Powerpoint
  • Salesforce CRM knowledge preferred
  • Experience with Securities, Financial Planning, Investments and Insurance
  • Experience working with various Custodian Platforms and their forms (Schwab a plus)

Skills and Knowledge:

  • Excellent communication skills (verbal, written and listening)
  • Highly Proficient in Microsoft Office Suite, especially Excel required
  • 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

Interested candidates should contact Tabitha Letourneau at: Please mention that you are a member of EisnerAmper's Friends of the Firm program. Make sure to include Job #836 in the subject line and to copy Nkrumah Pierre and Jennifer Rosener at on your email.