Operations Manager

Calton & Associates is an independent broker-dealer, RIA, and insurance agency headquartered in Tampa, FL. We support a nationwide network of financial advisors with the operational infrastructure, compliance oversight, and technology they need to serve clients at the highest level. Our culture is built on the belief that a strong, connected team — one that supports each other at every level — is the foundation of everything we do.

POSITION SUMMARY

We are seeking a highly motivated and experienced Operations Manager to oversee broker-dealer, RIA, and insurance operations. This is a critical on-site leadership role responsible for the end-to-end management of account administration, cashiering, reconciliation, and operational compliance. The right candidate brings deep practical knowledge of securities back-office workflows and thrives in a collaborative, fast-paced, and detail-driven environment where accuracy, accountability, and team culture are equally valued.

KEY RESPONSIBILITIES

Operations Leadership Lead the broker-dealer, RIA, and insurance operations teams and set strategic direction for all back-office functions Manage day-to-day workflow of operations staff; serve as escalation point for complex exceptions requiring resolution Develop and implement policies and procedures consistent with firm Written Supervisory Procedures (WSPs) Ensure cross-training across all roles to maintain continuity and build team resilience Provide advisor transition support through the operations team Monitor and resolve trade fails, settlement exceptions, and DK notices with clearing firms and custodians Direct daily cash and securities reconciliation between internal records and clearing firm statements Manage cashiering functions including wires, ACH, check processing, and margin oversight Regulatory & Compliance Ensure operations comply with FINRA rules, SEC regulations, and firm supervisory procedures Maintain books and records in accordance with SEC Rules 17a-3 and 17a-4 Support regulatory examinations and internal audits with documentation and process walkthroughs Manage operational components of the firm's AML program Technology & Process Improvement Identify workflow inefficiencies and lead initiatives to improve capacity, reduce errors, and enhance the advisor experience Serve as operations liaison to technology and vendor partners for system enhancements and integrations Evaluate and implement new operational tools and automation solutions in coordination with senior leadership Team Development Conduct performance reviews, provide coaching, and support professional development for all operations staff Foster a culture of accountability, accuracy, and mutual support — one that extends beyond any job title or office door Lead regular team meetings and maintain current procedure documentation for all back-office functions

QUALIFICATIONS

Education & Experience Bachelor's degree in Finance, Business Administration, Accounting, or related field preferred 5+ years of experience in broker-dealer and/or RIA operations management Demonstrated expertise in trade settlement, ACATS, cashiering, and reconciliation in a FINRA-regulated environment Experience with clearing firms such as Pershing, NFS (Fidelity), Hilltop, or Schwab a strong plus Licenses & Regulatory Knowledge FINRA Series 7, 24, 63, and 65/66 preferred but not required; firm will support licensing if desired and not currently held Series 99 (Operations Professional) viewed favorably; exam prep and sponsorship provided Working knowledge of SEC Rules 15c3-1, 15c3-3, Reg BI, and Investment Advisers Act requirements Strong verbal and written communication skills; able to work cross-functionally across Compliance, Finance, and Technology Proficiency in Microsoft Excel and familiarity with clearing firm systems. Highly organized, detail-oriented, and able to manage competing priorities in a fast-paced environment Proven team leader who builds trust, elevates others, and brings people together #J-18808-Ljbffr Calton & Associates, Inc.