Senior Operations Lead - Broker-Dealer & Compliance

Calton & Associates, Inc.

Tampa (FL)

In loco

USD 90.000 - 120.000

Tempo pieno

39 ore fa

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Descrizione del lavoro

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.

Competenze

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.

Mansioni

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.