Associate Director, Investment Operations
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EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $49.1 billion as of June 30, 2026, serving predominately high net worth individuals. EPWA fosters an inclusive environment that offers opportunities for our associates to learn, grow and enhance their skills to take on new challenges to progress in their professional careers.
The Associate Director, Investment Operations is responsible for leading the firm's Investment Operations team and overseeing the operational functions that support portfolio management, trading, account administration, and investment-related services across the organization. This role provides strategic leadership and operational oversight, ensuring efficient workflows, strong internal controls, data integrity, and consistent service delivery.
The successful candidate will possess strong analytical, organizational, and leadership skills, with the ability to develop high-performing teams, drive operational improvements, and support the firm's continued growth. This individual will work closely with Portfolio Management, Advisors, Client Service, Trading, Billing, Compliance, Technology, and other stakeholders to resolve complex issues, enhance operational processes, and strengthen the firm's investment-related operational capabilities.
You will join a team of dynamic, collaborative, and client-focused professionals who are committed to delivering EP Wealth's core values of Integrity, Entrepreneurial, Inclusivity, and Connection.
Key Responsibilities
Leadership and Operational Oversight
- Lead, coach, and develop the Investment Operations team, fostering a culture of accountability, collaboration, and continuous improvement.
- Oversee daily departmental operations, establish priorities, allocate resources, and monitor performance to ensure timely, accurate, and efficient execution.
- Evaluate team structure, workflows, and capabilities to improve organizational effectiveness and support the firm's continued growth.
- Establish and maintain operational standards, policies, procedures, and service level expectations to promote consistency, quality, and scalability.
- Serve as a key escalation point for complex operational issues, providing leadership, guidance, and effective resolution.
- Oversee investment operations workflows supporting portfolio management, trading, account administration, reconciliation, custodial integrations, and related investment activities.
- Ensure the accuracy, completeness, and integrity of portfolio and account-level data through effective operational controls, quality assurance, and exception management.
- Identify and resolve recurring operational and data-related issues through root-cause analysis, process improvements, and sustainable corrective actions.
- Maintain a strong understanding of portfolio management systems, data flows, and operational dependencies supporting investment management, client reporting, billing, and other business functions.
- Collaborate with internal stakeholders and third-party vendors to address system-related challenges, improve data reliability, and enhance operational effectiveness.
- Identify and implement process improvements, automation opportunities, and operational efficiencies that enhance accuracy, service delivery, and scalability.
- Lead operational initiatives involving system enhancements, technology implementations, business integrations, and other strategic projects.
- Establish and monitor key performance indicators, quality measures, and service level metrics to evaluate operational performance and identify improvement opportunities.
- Partner with internal stakeholders to improve processes and controls supporting portfolio data, client reporting, billing, and compliance-related activities.
- Provide strategic recommendations regarding operational priorities, resource needs, technology capabilities, and opportunities to strengthen the firm's operational infrastructure.
- Ensure adherence to firm policies, regulatory requirements, established procedures, and applicable operational standards.
- Proactively identify and mitigate operational risks related to investment processes, data integrity, system workflows, and internal controls.
- Develop and maintain comprehensive documentation, training materials, and quality assurance procedures to support consistency and accountability.
- Support compliance reviews, audits, and other risk management activities related to investment operations.
Investment Operations and Data Integrity
Operational Strategy and Continuous Improvement
Risk Management and Operational Governance
Qualifications
- Bachelor's Degree preferred, preferably in Business, Finance, Economics, Accounting, Information Systems, or a related field.
- Minimum of 7 years of progressive experience in investment operations, portfolio operations, trading operations, or investment data management within financial services.
- Minimum of 3–5 years of leadership or supervisory experience, preferably within an RIA, asset management, or wealth management environment.
- Strong understanding of portfolio management systems, investment operations, reconciliation, custodial integrations, data management, and related operational workflows.
- Experience establishing operational controls, quality assurance processes, exception management procedures, and scalable workflows.
- Experience with Tamarac, GeoWealth, Salesforce, Schwab Advisor Center, Fidelity Wealthscape, Pontera, or other RIA technology platforms strongly preferred.
- Demonstrated ability to lead teams, develop talent, manage complex priorities, and execute process improvement and technology initiatives.
- Strong strategic thinking, analytical, organizational, project management, and problem-solving skills with exceptional attention to detail.
- Excellent communication and relationship management skills with the ability to influence stakeholders and lead cross-functional initiatives.
- Advanced proficiency with Microsoft Office, particularly Excel, Word, and Outlook.
Core Competencies
- Leadership and Team Development
- Investment Operations and Portfolio Management Systems
- Data Integrity and Quality Assurance
- Process Improvement and Operational Excellence
- Strategic Thinking and Organizational Effectiveness
- Risk Management and Internal Controls
- Project Management and Change Leadership
- Cross-Functional Collaboration
- Critical Thinking and Problem Solving
- Communication and Relationship Management
What We Offer
We offer a highly competitive suite of holistic benefits designed to help our team members balance their personal and professional life commitments. These include options designed to encourage employee's health, happiness, and financial well-being.
- 11 Paid Holidays + 2 Floating Holidays
- Paid Parental Leave
- Paid Volunteer Time
- Flexible Work Schedule
- Highly subsidized Health, Dental, and Vision Plans
- 401k Retirement Account with company match contributions
- Free Mental Health services, Life Insurance, Long & Short-Term Disability Insurance
- Flexible Spending Accounts and Health Savings Accounts
- Employee Financial Education
- Employee Educational Expense Reimbursement
- Employee Charitable Donations
- Employee Referral Incentives
- Employee Team Building Activities
- Employee Assistance Program
EPWA is an equal opportunity employer. Prospective employees will receive consideration without discrimination because of race, creed, color, sex, gender, gender expression, gender identity, sexual orientation, age, religion, national origin, ancestry, mental disability, physical disability, medical condition, genetic information, marital status, military and veteran status, or any other basis protected by law.
Skills
As published by lever · 5 questions · 1 written answer
Basics
Resume/CV, Full name, Pronouns, Email, Phone, Current location, Current company, LinkedIn URL, Twitter URL, GitHub URL, Portfolio URL, Other website
Pick from a list (4)
- Have you previously interviewed with EP Wealth?? optional
- Are you legally authorized to work in the US without sponsorship? optional
- Do you now or in the future require visa sponsorship to continue working in the United States of America? optional
- Do you acknowledge that you have read the following disclosure statement and understand it? I hereby certify that I have not knowingly withheld any information that might adversely affect my chances for employment and that the answers given by me are true and correct to the best of my knowledge. I further certify that I, the undersigned applicant, have personally completed this application. I understand that any omission or misstatement of material fact on this application or on any document used to secure employment shall be grounds for rejection of this application or for immediate discharge if I am employed, regardless of the time elapsed before discovery. I hereby authorize EP Wealth Advisors, LLC to thoroughly investigate my references, work record, education and other matters related to my suitability for employment and, further, authorize the references I have listed to disclose to EP Wealth Advisors, LLC any and all letters, reports and other information related to my work records, without giving me prior notice of such disclosure. In addition, I hereby release EP Wealth Advisors, LLC, my former employers and all other persons, corporations, partnerships and associations from any and all claims, demands or liabilities arising out of or in any way related to such investigation or disclosure. I understand that nothing contained in this application or conveyed during any interview which may be granted or during my employment, if hired, is intended to create an employment contract between me and EP Wealth Advisors, LLC. In addition, I understand and agree that if I am employed, my employment is for no definite or determinable period and may be terminated at any time, with or without prior notice, at the option of either myself or the company, and that no promises or representations contrary to the foregoing are binding on the company unless made in writing and signed by me and the company’s designated representative.
Written answers (1)
- Were you referred to us by an employee? If your answer is no, skip. If your answer is yes, please list the name of the employee. optional