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DHG - Charlotte, NC

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Charlotte NC based private wealth investment firm

Our client is a unique Private Wealth Management firm that operates in a significantly different way than many other investment firms. A great team of experts and advisors working together to provide unmatched client service. This is a new position for the organization and responsibilities will be based in areas of strategic leadership, firm management and operations, client services and market presence. This is not the full job description but an overview to provide insight into the role.



  • Collaborate with CEO and executive leadership team, overseeing budgets for all operational areas and identifying opportunities for efficiency and effective use of financial resources
  • Assist with and support the development of long-range strategic plans, priorities and objectives, along with measurable goals to ensure continued long-term success of organization and reputation
  • Integrate strategic plan with daily operations and future planning
  • Ensure delivery of high quality, and best in industry delivery of services
  • Maintain compliance with required local, state and federal laws and licensing accreditation requirements for areas of responsibility and develop and implement appropriate risk management policies and programs


  •  Oversee fiscal operations and firm management responsibilities, taking into account the best interests of staff, board and clients
  • Assist in the development of written policies regarding the responsibilities and activities of staff members employed for the purpose of efficient operations
  • Maintain regular and open lines of communication with direct reports and all staff to provide direction, guidance, and general information as needed
  • Prepare employee performance evaluations and initiate recommendations for salary increases promotions, disciplinary actions, and termination
  • Establish measurable goals and benchmarks for all operational areas, and track performance against agreed upon standards and trends
  • Ensure effective disaster and emergency preparedness plans are established and maintained
  • Oversee office leases and planning for growth with facilities


  • 5+ years of experience in operations management and planning within the financial services industry
  • Full comprehension and compliance with all regulations governing a Wealth Management Firm
  • Strong leadership skills and management capabilities, able to manage competing priorities and tasks to meet deadlines and accomplish goals, using logic and reasoning to identify complex problems, review related information and develop options and implement solutions
  • Solid interpersonal interaction with excellent communication skills, able to work well with a variety of personalities and relay information well in both written and verbal form
  • Capable public speaking skills as this role is often the voice representing the firm


  • Minimum 15+ years in investments and wealth management financial services
  • In-depth knowledge of commonly used tools in the Wealth Management industry including analytical/market data/planning
  • FINRA series 7, 63, and 66 a plus
  • Bachelor’s degree is required and a Master’s degree or equivalent is highly preferred

Posted On: Saturday, February 26, 2022

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