Operations Manager

Calton & Associates, Inc.; Tampa (FL); On-site; USD 90,000 - 120,000; Full time

Job summary

Calton & Associates, Inc. in Tampa, FL is seeking an experienced Operations Manager to oversee broker-dealer, RIA and insurance operations.

This on-site leadership role manages end-to-end account administration, cashiering, reconciliation, and regulatory compliance. The ideal candidate brings deep back-office expertise in trade settlement, ACATS, and securing accurate books and records under FINRA/SEC rules.

Qualifications

• 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.

Responsibilities

• 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; 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.

Skills

Broker-dealer operations

Trade settlement

ACATS knowledge

Cashiering & reconciliation

Cross-functional collaboration

Education

Bachelor's degree in Finance/Business/Accounting

Tools

Excel

Clearing firm systems

Pershing / NFS / Hilltop / Schwab familiarity

Job description

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