Head of Operations

Position:  Head of Operations
Location:  Tampa, FL
Type:  Full-Time

Position Overview

Calton & Associates is looking for a highly motivated and experienced Head of Operations to oversee the broker dealer, RIA and Insurance agency operations.  This person will work with other department leaders to create an atmosphere of open communication on operational issues. This position will oversee and lead the Calton operations department and provide strategic direction for operational issues of the firm.  This person will be asked to provide leadership for innovative efficiencies throughout the firm.

The Head of Operations will be responsible for managing our team of operations specialists who are processing all investments, providing trade execution, managing operational workflow, along with development, implementation and execution of operational efficiencies.  This person will be the lead relationship manager for our clearing relationships with Hilltop Securities and Fidelity clearing. The Head of Operations will be responsible for ensuring that Calton complies with regulatory requirements, firm policies and supervisory procedures.  

Qualified candidates will have five or more years of direct experience managing the operations department for a broker dealer, RIA and Insurance Agency.  Experience in creating efficiencies within a broker dealer and RIA is essential

 Position Responsibilities

  • Lead the broker dealer and RIA operation teams
  • Create and execute a strategic vision for broker dealer and RIA operations
  • Conduct weekly staff meetings to ensure open and frequent communication of department and firm issues and policies
  • Manage the work flow of operations staff
  • Manage escalated work flow items to resolution
  • Develop and implement policies and procedures consistent with firm WSP’s
  • Manage operations staff to established service standards
  • Ensure cross training of roles and responsibilities
  • Serve as point of contact and manage clearing relationships with both Hilltop and Fidelity
  • Support the implementation and ongoing management of Artisan operations system  
  • Provide transition and onboarding support through operations team to all transitioning advisors
  • Conduct performance reviews for all operations staff
  • Other projects as assigned by Calton leadership


  • Four year college degree preferred
  • Five + years of experience within a broker dealer / RIA operations
  • FINRA Licensed
    • Series 7
    • Series 24
    • Series 63
    • Series 65/66 preferred
  • Knowledge of computer skills including
    • Microsoft Word
    • Microsoft Excel
    • Fidelity Clearing and Wealthscape knowledge preferred
    • Hilltop CSS and Advisor EXP knowledge preferred
  • Strong verbal and written communication skills
  • Strong attention to detail
  • Highly organized
  • Ability to multitask efficiently and effectively

Compensation and Benefits

  • Base Salary
  • Annual Bonus
  • Company Profit Sharing Plan Bonus
  • Company 401K and Matching Program
  • Medical Coverage
  • Dental Coverage
  • Life Insurance Coverage

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