Job Description

Job Description

Job Description

Join CSI Group – A Thriving Career Awaits You!

About CSI Group

CSI Group is a leading financial services firm transforming how America's middle class experiences financial security. We enrich lives and legacies by providing personalized financial planning, tax, and estate solutions that empower individuals and families to achieve lasting prosperity. Our mission is simple yet powerful: to simplify financial security and remove uncertainty for America's middle class.

Role Summary

The Director oversees the full operational infrastructure of CSI Advisors, ensuring seamless, compliant, and highly efficient experience for both members and the Servicing Financial Advisor team. This role manages all operational workflows across account maintenance, advisor onboarding, trading, billing, reconciliation, custodial processes, cross-platform technology integrations, and overall member experience delivery.

This position is ideal for someone with deep experience building or scaling an RIA, who excels at creating structure, optimizing workflows, and implementing innovation that support rapid and sustainable growth.

The Director partners closely with firm leadership, Servicing Financial Advisors, and Charles Schwab, CSI Advisors’ primary custodian, while also working alongside the Chief Compliance Officer (CCO) to ensure operational excellence, regulatory readiness, and risk alignment. The role also collaborates cross-functionally with Advisory Services teams to deliver the integrated CSI 360&degree; member experience.

Key Responsibilities

Operational Leadership & Infrastructure

• Lead and manage all RIA back-office operations with a focus on accuracy, efficiency, and exceptional member experience.
• Oversee all core operational processes, including:
  • New account opening
  • ACATs and transfers
  • Money movement requests
  • Beneficiary and account maintenance updates
  • Trading, rebalancing, and model updates
  • Billing, fee processing, reconciliation, and performance reporting
• Drive both Servicing Financial Advisor and member onboarding workflows to ensure a frictionless transition experience.
• Build, document, and maintain scalable workflows, SOPs, and operational controls aligned with firm growth.
• Support operational integration efforts related to acquisitions, new product lines, and platform expansions.

Custodial Relationship Management (Charles Schwab)

• Serve as the primary operational liaison with Charles Schwab , CSI Advisors’ custodian.
• Oversee Schwab Advisor Center workflows including digital onboarding, document processing, alerts, trading systems, and custodial requirements.
• Resolve escalated custodial issues promptly and maintain strong vendor relationships.
• Stay current on Schwab platform enhancements, system updates, and regulatory or procedural changes.

Trading & Portfolio Operations

• Oversee daily trading tasks including trade execution, model adjustments, block trades, and rebalancing workflows.
• Monitor cash levels, contributions, withdrawals, RMDs, and other trading-related activity requiring operational action.
• Ensure all trading aligns with Schwab policies, firm guidelines, and compliance requirements.
• Partner with advisors to support member portfolio needs and the delivery of performance reporting.

Servicing Financial Advisor Support

• Act as the primary operational escalation point for Servicing Financial Advisors.
• Sales pipeline oversight working in partnership with Chief Revenue Officer (CRO)
• Troubleshoot complex member issues involving account transfers, cost basis corrections, billing questions, tax documents, and custodial service needs.
• Train Servicing Financial Advisors and support teams on operational processes, systems, and Schwab workflows.
• Enhance advisor efficiency through standardized workflows, automation, and reliable operational support.

Compliance & Risk Management

(Working alongside the Chief Compliance Officer)

• Ensure operational processes align with SEC and state regulatory requirements.
• Support compliance audits, regulatory exams, documentation retention, and operational components of compliance workflows.
• Strengthen controls related to money movement, trading oversight, cybersecurity, data integrity, and custodial interactions.
• Assist in operational readiness for firm expansions, acquisitions, and platform enhancements.

Technology & Systems Oversight

• Oversee key advisory technology platforms, including CRM, portfolio accounting, reporting systems, billing engines, trading platforms, financial planning tools, and member portals.
• Manage vendor integrations across systems such as Schwab, Orion, Black Diamond, Envestnet, Salesforce, or equivalent technologies.
• Identify opportunities for automation, system integration, and workflow efficiencies that enhance advisor and member experience.
• Partner with IT to ensure secure, reliable, and scalable technology operations.

Team Leadership

• Lead, mentor, and develop the Financial Advisors and Operations team to deliver high-quality, consistent, and accurate workflow execution.
• Provide coaching, cross-training, and a strong learning environment that supports succession readiness.
• Manage workload allocation, team coverage, and staffing needs to support business growth.

Qualifications

• 7+ years of RIA or wealth management operations experience, including direct involvement in launching, building, or scaling an RIA.
• Strong hands-on experience with Charles Schwab Advisor Center and custodial operations.
• Deep understanding of account operations, trading workflows, portfolio operations, advisory billing, and reconciliation processes.
• Proven ability to design, implement, and scale operational systems and workflows in a growing organization.
• Experience implementing or optimizing advisory technology platforms.
• Excellent communication, problem-solving, and cross-functional collaboration skills.
• High attention to detail, strong follow-through, and a member-first mindset.
• Bachelor’s degree required; Series 65/66, CFP®, or other relevant credentials preferred.

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