Operations Manager

Calton & Associates, Inc. is currently seeking an experienced Operations Manager to join our team in Tampa, FL.

Calton & Associates, Inc. Overview
Calton & Associates is one of the nation’s long-standing independent broker/dealers, and is also a registered investment adviser.  Founded in 1987, Calton & Associates has built a solid foundation for supporting independent representatives and financial professionals and the growth of their business.  Through a comprehensive range of financial products and services, Calton & Associates helps advisors pursue the appropriate financial solutions to support their clients’ needs.  With over 100 offices nationwide Calton & Associates is a family friendly broker/dealer for quality advisors who want independence along with support to grow their business.

Job Description

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

The Operations Manager will be responsible for managing a team of operations specialists who are processing all investments, managing operational workflow, along with development, implementation and execution of operational efficiencies. The Operations Manager will be responsible for ensuring the firm complies with operational 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
  • Manage the workflow of operations staff
  • Manage escalated workflow items to resolution
  • Develop and implement policies and procedures consistent with firm WSPs
  • Manage operations staff to established service standards
  • Ensure cross training of roles and responsibilities
  • Support the implementation and ongoing management of all operations systems
  • Provide advisor transition support through the operations team
  • Conduct performance reviews for all operations staff
  • Other projects as assigned by leadership


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

Compensation and Benefits

  • Base salary
  • Company profit sharing plan
  • Company 401(k) and matching program
  • Medical coverage
  • Dental coverage
  • Life insurance coverage

Job Type: Full-time

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