Director, Advice Operations
Are you a dynamic leader ready to drive operational excellence and integration in a growing financial services organisation? Join our senior management team as the Director, Advice Operations, reporting directly to the Chief Operating Officer.
In this pivotal role, you’ll:
- Lead high-performing teams and oversee compliance, workflows, and implementation processes.
- Spearhead seamless integration of newly acquired practices into our core operating model.
- Identify operational efficiencies and drive continuous improvement initiatives.
- Optimise the use of cutting-edge platforms like Xplan to enhance automation, compliance, and scalability.
We’re looking for a strategic thinker with proven experience in operations management, M&A integration, and financial services platforms. If you’re ready to shape the future of our organisation, apply now and be part of our exciting journey!
Position Title: Director, Advice Operations
Position Type: Full Time / Part Time
Reports to: Chief Executive Officer
Primary Role
As a key member of the Senior Management Team, this role will oversee operational and compliance functions while driving the seamless integration of new practices into the group’s core operating model. This role ensures operational excellence, compliance integrity, and the scalability of systems and processes, contributing to the organisation’s growth and efficiency.
Duties and Responsibilities
Leadership and Supervision
- Provide strategic leadership to the operations and offshore teams, ensuring high-quality outputs and alignment with company goals.
- Oversee the performance and development of team members through regular reviews, mentoring, and structured training programs.
- Act as a senior escalation point for complex operational, compliance, implementation, review or integration issues.
- Develop and implement structured training and change management programs for all staff across the business where it relates to changes to workflow, advice operations processes, implementation or review compliance.
- Foster a culture of continuous learning and professional development within the team
M&A Integration
- Support the integration of newly acquired practices and capabilities into the group’s core operating model, ensuring seamless interactions across teams and clients
- Define and embed clear frameworks for collaboration between practices, support functions, and platforms.
- Working with the COO identify operational synergies, provide assistance during the due diligence of mergers and acquisitions (M&A), and report integration issues to project leads.
- Provide recommendations to the Executive Team in the forecasting of resource and organisational structure needs associated with M&A growth for both onshore and offshore operations.
Process and Workflow Management
- Monitor compliance with Fixed Term Service Agreements (FTSA) and oversee implementation workflows to meet service level agreements (SLAs).
- Identify inefficiencies and duplications in business processes; drive continuous improvement initiatives across operations.
- Optimise and enhance the use of core platforms (e.g., Xplan, Calendly, AI Tools) to allow for automation, meet and exceed compliance standards, and enable scalability.
- Audit team outputs to ensure adherence to compliance requirements and company standards
- Ensure that Xplan data hygiene and adviser code management is accurate
- Supervise advice implementation workflows to meet SLAs and compliance standards
- Evaluate and optimise operational systems and processes to improve efficiency and client satisfaction
Collaboration and Client Experience
- Work closely with internal teams, including Advice, Compliance, Data & Systems, and IT, to align operations with business needs.
- Maintain strong relationships with external stakeholders, such as platform providers, to secure ongoing support and resolve escalations.
Strategic Oversight
- Oversee and report on the strategic use and development of platforms in collaboration internally within the department and with the Advice division.
- Ensure operational frameworks support the company’s growth strategy while adhering to compliance standards.
- Participate in the development of department and division Objectives and Key Results (OKRs)
Other Duties
- Participate in senior management meetings and contribute to strategic decision-making processes.
- Undertake project work and additional tasks as directed by the Chief Operating Officer or Executive Leadership Team.
Skills, Knowledge, Abilities & Attitude Required
- Proven experience in operational leadership within the financial services industry.
- Strong understanding of M&A integration, compliance requirements, and platform optimisation.
- Proficiency in Xplan, Calendly, and other core financial services platforms.
- Strategic mindset with the ability to forecast resourcing needs and drive organisational growth.
- Exceptional problem-solving and process improvement skills.
- Commitment to professional conduct and alignment with company culture and values.
Qualifications & Other Requirements
- Extensive experience in operations management, compliance, and M&A integration.
- Strong alignment with the company’s values, policies, and long-term goals.
- Adherence to financial services laws and AFSL conditions.
