Operations and Services Director

POSITION SPECIFICATION

Senior Operations & Client Service Associate

Client Experience & Family Office Operations

SagePoint Capital Partners · Franklin, Tennessee · Full-Time, Onsite

WHY THIS SEAT EXISTS

A family decides to trust us in a conference room. They find out whether that trust was well placed everywhere else — in how quickly their account opens, whether their bills are paid without them ever having to wonder, whether the person who answers the phone knows their name and their situation.

This is the seat that turns a signature into a relationship. It is the most consequential operational role in the firm, and we are looking for someone who understands that the work is not administrative. It is pastoral.

I. A WORD BEFORE THE SPECIFICATION

Most job descriptions describe tasks. This one will too, in time — thoroughly, because the work is technical and the standards are exacting. But we want to begin somewhere else.

SagePoint Capital Partners serves families, founders, and leaders whose lives carry uncommon responsibility. The wealth they steward is rarely the point. What sits underneath it is a widow who needs to know the lights stay on, a founder who wants his children to inherit judgment rather than just capital, a family trying to hold itself together across three generations and four states.

We built this firm on a simple conviction: capital is a means of stewardship, not an end in itself. Our philosophy is Protect, Compound, Amplify. Our governing idea is cathedral thinking — the discipline of building something whose value is measured in generations rather than quarters. Cathedrals are not built by people in a hurry, and they are not built by people who do sloppy work in the parts nobody will see.

Which brings us to this role. Nobody applauds a wire that goes out correctly. Nobody notices the account that opened in three days instead of three weeks, or the property tax bill that was paid on the twenty-eighth without anyone having to ask. Those invisible things are the entire experience of being served well. We are looking for someone who takes deep, quiet satisfaction in getting them right.

If that is you, keep reading. We think you will recognize yourself in what follows.

II. POSITION AT A GLANCE

Title

Senior Operations & Client Service Associate

Reports to

Gary Thomas, Chief Operating Officer

Partners closely with

Sam Yoon (CFO/CSO) · Ranjeet Guptara (Managing Director) · Jonathan Shiffer (CIO) · Grant Birdwell (Head of Private Alternatives) · John Bunge (Senior Wealth Strategist) · Phil Nicaud (Head of Family & Community Engagement)

Leadership scope

Sets service standards firm-wide; mentors the Operations & Project Analyst; owns operational onboarding for future service hires

Location

Franklin, Tennessee — onsite, with periodic travel to Nashville, Naples, and Dallas

Classification

Full-time, exempt. Supervised person under the firm's Code of Ethics. Fidelity bond coverage required.

Compensation band

$95,000–$135,000 base, plus discretionary bonus of 15–20%, benefits, funded continuing education, and relocation support

III. THE MANDATE

This role owns the client's lived experience of SagePoint from the moment the relationship is signed, and it owns the operational integrity that makes that experience possible.

Three things sit at the center of the mandate. Everything else supports them.

First — accounts open fast and open right.

The window between a family's decision and their first statement is the most fragile moment in the relationship. They have just moved something they spent a lifetime building. Every day of delay, every form returned not-in-good-order, every phone call asking for a document they already sent is a small withdrawal from an account we have barely opened. We measure this precisely, and Section VII tells you exactly how.

Second — bill pay runs flawlessly.

For many of our families, bill pay is the service they feel most and describe least. It is also the service that carries the most operational and regulatory weight in the firm. This role leads it end to end — design, controls, execution, and reconciliation. It is a position of extraordinary trust, and it is treated that way.

Third — no client request ever falls through.

Requests arrive by phone, email, text, and hallway. They arrive on Friday at 4:50. This role builds the system that catches all of them and closes all of them, and holds the standard when the week gets hard.

IV. CORE RESPONSIBILITIESA. New Account Opening & Onboarding

Speed and accuracy here are not operational preferences. They are the first promise we keep.

• Own the full account opening lifecycle across registration types: individual and joint, revocable and irrevocable trusts, IRAs and Roth IRAs, inherited accounts, entity and LLC accounts, partnerships, private foundations, and donor-advised funds.

• Prepare complete, accurate custodial paperwork the first time. Verify registrations, titling, tax identification, beneficiary designations, and authorized-party documentation before anything is submitted.

• Manage account transfers end to end — ACATs, non-ACAT transfers, in-kind delivery, and journals — with active tracking from submission through settlement and funding.

• Escalate stalled transfers on a defined clock rather than waiting for the custodian. A transfer sitting quietly is a transfer failing loudly.

• Coordinate KYC, Customer Identification Program, beneficial ownership, and AML documentation with compliance at the point of opening, not after.

• Own the client-facing onboarding sequence: welcome communication, document collection, portal enrollment, statement and tax-document delivery preferences, and the first-90-day check-in with the relationship owner.

• Maintain a live onboarding pipeline visible to the COO and relationship owners, with each account's stage, blocker, owner, and expected completion date.

WHAT GOOD LOOKS LIKE

A family signs on Tuesday. Their paperwork goes out Wednesday morning, complete and correct. Their accounts are open by Friday. Their transfer is submitted the same day and tracked daily. They receive one warm, plain-English email telling them exactly what happens next and when — and then everything happens exactly as described.

They never have to ask. That is the standard.

B. Bill Pay Program Leadership

This role designs, leads, and is accountable for SagePoint's bill pay and personal financial administration service.

Program design and governance

• Build and own the bill pay operating model: client intake, vendor onboarding, approval thresholds, payment calendars, controls, and reconciliation cadence.

• Establish and enforce segregation of duties and dual-control approval on every outbound payment. No single individual — including this one — initiates and approves the same disbursement.

• Maintain a documented authority matrix per household: who may authorize what, up to what amount, and how exceptions are handled.

• Produce written procedures sufficient for an independent examiner to follow without narration.

Execution

• Manage recurring and non-recurring household obligations: mortgages, property taxes, insurance premiums, utilities, tuition, medical, household staff payroll and contractor payments, club and association dues, vehicle and aviation expenses, and charitable commitments.

• Maintain a rolling household payment calendar with lead-time buffers on every large or date-critical obligation.

• Forecast household cash needs and coordinate funding with the investment team so liquidity is raised deliberately rather than reactively.

• Resolve vendor disputes, billing errors, and duplicate charges on the client's behalf.

Reporting and coordination

• Deliver monthly household expense reporting to each family in a clean, readable format, with year-over-year and budget-to-actual context.

• Reconcile every bill pay account monthly and close the reconciliation within five business days of month end.

• Coordinate with clients' CPAs and estate counsel on documentation, 1099 and K-1 collection, charitable substantiation, and year-end close.

• Flag anomalies immediately — unusual vendors, unexplained increases, out-of-pattern requests — including the possibility of elder financial exploitation or third-party fraud. This role is a first line of defense for families who may not have one.

A NECESSARY WORD ON CUSTODY

Bill pay authority is not an administrative convenience. Under the Investment Advisers Act, an adviser with the ability to disburse client funds generally has custody — which carries surprise annual examination by an independent public accountant, Form ADV-E filing, qualified custodian requirements, and specific Form ADV disclosure.

The person in this seat is expected to understand this thoroughly, to operate inside those controls without exception, and to be a credible partner to the firm's compliance function during examination. We say this plainly in the job description because we would rather hire someone who is drawn to that responsibility than someone who discovers it later.

C. Client Service

• Serve as the day-to-day operational point of contact for assigned families, in genuine partnership with the relationship owner.

• Acknowledge every client request within four business hours — even when the answer is not yet available. Silence is the only unacceptable response.

• Own money movement operations: wires, ACH, journals, standing letters of authorization, distributions, required minimum distributions, Roth conversions, gifting, and charitable transfers — with callback verification on every outbound instruction, without exception and without apology for the friction.

• Manage the tax document and reporting cycle: 1099s, K-1 tracking for alternative investments, cost basis, corporate actions, and realized gain reporting.

• Support the quarterly reporting cycle: package assembly, data verification, distribution, and exception resolution.

• Prepare operational materials for client meetings and close the loop on every service commitment made in the room.

• Support alternative investment operations with the Head of Private Alternatives: subscription documents, capital calls, distribution notices, and position reconciliation.

D. Data Integrity & Platform Operations

• Own reconciliation and data integrity in Auria: positions, performance, cash, cost basis, and manual asset valuations.

• Investigate and resolve breaks rather than deferring them. A reconciliation exception carried forward is a client report that will eventually be wrong.

• Maintain CRM as the authoritative record of household structure, entities, contacts, service commitments, and relationship history.

• Serve as the firm's operational expert on custodial platforms and the primary relationship manager to custodian service teams.

• Partner on Greenboard compliance workflow: attestations, books-and-records archiving, and examination readiness.

E. Standards, Documentation & Mentorship

• Author and maintain the firm's client service standards — response times, escalation paths, communication templates, and quality expectations.

• Build the operations SOP library. Every recurring process documented well enough that a capable new hire could execute it unsupervised.

• Mentor the Operations & Project Analyst and set the operational bar for future service hires.

• Partner with the COO on capacity planning as household count grows.

• Identify and eliminate manual work. The firm expects meaningful automation from this seat, not merely diligent execution of the status quo.

V. QUALIFICATIONSRequired

• Bachelor's degree.

• Five or more years in registered investment adviser, family office, private bank, or trust company operations, including direct client-facing service responsibility.

• Demonstrated ownership of account opening and transfer operations on a major custodial platform.

• Direct experience with bill pay, personal financial administration, or trust disbursement operations.

• Working knowledge of custody rule implications, Code of Ethics obligations, KYC/AML requirements, and Regulation S-P privacy standards.

• Advanced Excel. Strong written communication in a client-facing voice.

• Clean background check, credit review, and regulatory screening. Position is bonded.

Strongly Preferred

• Series 65 or CFP® — held or in progress.

• Experience serving ultra-high-net-worth families, professional athletes, or founders through a liquidity event.

• Alternative investment operations experience: subscriptions, capital calls, and K-1 cycles.

• Notary commission, or willingness to obtain one.

• Portfolio accounting platform depth — Auria, Addepar, Orion, or comparable.

VI. WHO THRIVES HERE

Trait

What It Looks Like at SagePoint

Warmth under pressure

A family calls upset about a wire that has not landed. The right person is calm, kind, and specific — and calls back with the answer even after the problem is solved.

Reverence for accuracy

Checks the account number twice because a family's money is not an abstraction. Finds satisfaction rather than tedium in a clean reconciliation.

Ownership instinct

Sees a gap and closes it. Does not wait to be assigned a problem that is plainly theirs to solve.

Discretion

Will hold knowledge of families' finances, health, marriages, and children. Discretion here is not a policy to follow; it is a character trait we verify in references.

Courage to raise a hand

Escalates a mistake immediately, before it compounds. We would far rather hear about an error at 9 a.m. than discover it at year end.

Values alignment

Continuous Growth · Intentional Excellence · Always Pioneering · Interdependence and Team · Radical Generosity · Courage

VII. STANDARDS OF PERFORMANCE

We believe people do their best work when the standard is explicit. These are the measures this role is accountable for, reviewed monthly with the Chief Operating Officer.

Account opening — speed

Measure

Target

Floor

Paperwork prepared and delivered to client after signed agreement

24 business hours

48 hours

Application submitted to custodian after complete documents received

Same business day

24 hours

Account open and confirmed to relationship owner

3 business days

5 days

Transfer initiated after account opening

Same business day

24 hours

Assets funded and reconciled

10 business days

15 days

Stalled transfer escalated to custodian

Day 7, automatic

Day 10

Account opening — accuracy

Measure

Target

Floor

Not-in-good-order rate on submitted paperwork

Under 3%

Under 5%

Registration, titling, or beneficiary errors reaching the client

Zero

Zero

Client asked for a document already provided

Zero

Zero

Onboarding pipeline accuracy at weekly review

100%

100%

Bill pay

Measure

Target

Floor

On-time payment rate

100%

100%

Late fees or penalties incurred on a client's behalf

Zero

Zero

Payments made outside dual-control approval

Zero

Zero

Monthly reconciliation closed after month end

5 business days

7 days

Household expense report delivered

By the 10th

By the 15th

Anomaly or fraud indicator escalated after detection

Same day

Same day

Client service

Measure

Target

Floor

Client request acknowledged

4 business hours

8 hours

Request resolved, or owner and date communicated

48 hours

72 hours

Money movement executed with callback verification

100%

100%

Reconciliation breaks aged beyond 30 days

Zero

Zero

Service commitments made in client meetings and closed

100%

100%

VIII. CONTINUING EDUCATION

We fund tuition, materials, examination fees, and study time. We do this because a firm that asks people to steward other people's lives has an obligation to keep growing them.

Credential

Provider

Timing & Rationale

Securities Industry Essentials (SIE)

FINRA

Within 6 months, if not already held. Baseline literacy.

Series 65

NASAA / Tennessee

Within 12 months. The credential that lets this role speak with families as a peer of the advisory team rather than a processor of their requests.

Custody rule and bill pay controls training

NSCP or equivalent

Within 6 months. Directly load-bearing for the program this role leads.

Family office fundamentals

Family Office Exchange (FOX) · UHNW Institute · Campden Wealth

Within 24 months. Governance, family dynamics, and the operating architecture of a family office.

CERTIFIED FINANCIAL PLANNER™ (CFP®)

CFP Board

Fully funded and strongly encouraged. Unlike more operational seats, this role sits close enough to families that the CFP is genuinely additive — a 24 to 36 month commitment we will protect time for.

Certified Trust and Fiduciary Advisor (CTFA)

American Bankers Association

Elective, years 3–5. Strong for the trust and estate dimension of family office work.

Notary commission

State of Tennessee

Within 90 days. Practical and frequently needed.

IX. CAREER TRAJECTORY

We are not hiring a processor. We are hiring someone we expect to lead.

• Operations leadership. Director of Client Operations, then Chief Operating Officer track — owning service, platform, and operational infrastructure as the firm scales across four markets.

• Advisory. Associate Advisor, then Wealth Strategist, gated on Series 65 and CFP progress. Several of the finest advisors in this industry started exactly here.

• Family office services. Head of Family Administration, owning bill pay, household services, and personal financial administration as a distinct service line.

Advancement is measured against demonstrated capability, not tenure. We will tell you where you stand, honestly and often.

X. TERMS OF EMPLOYMENT

• Confidentiality. Comprehensive confidentiality and non-disclosure covering client, firm, personal, and family information. Obligations survive employment.

• Code of Ethics. Supervised person status. Personal securities transactions subject to pre-clearance and reporting. Annual attestation.

• Bonding. Position is covered under the firm's fidelity bond given disbursement authority.

• Compensation. Base salary benchmarked to the Nashville/Franklin market, discretionary performance bonus, health and retirement benefits, funded continuing education, and relocation support. Reviewed annually against external benchmarks.

XI. SELECTION PROCESS

1. Resume and a short note — not a formal cover letter — telling us about a time you caught something before it became a problem.

2. Timed exercise: prepare account opening documentation from a supplied fact pattern, and draft the client-facing email that accompanies it.

3. Bill pay case study: design the control structure for a household with four entities and a household staff of three.

4. Panel conversation with the Chief Operating Officer, Chief Financial Officer, and a Managing Director.

5. Working half-day alongside the team.

6. Background, credit, and regulatory screening.

7. Reference checks, including at least one client-facing colleague and one direct supervisor.

Pay: $50,000.00 - $90,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Professional development assistance
• Relocation assistance
• Retirement plan
• Vision insurance

Work Location: Hybrid remote in Franklin, TN 37067

Salary : $50,000 - $90,000