Operations Manager

Company Description

Calton & Associates, Inc. is an independent broker-dealer and investment advisory firm with a nationwide reach and over 30 years of experience. The firm is dedicated to offering premier financial professionals the tools, resources, and support necessary to succeed. Calton provides an extensive selection of financial products and services, along with personalized consultations and educational resources. Headquartered in Tampa, Florida, Calton is committed to fostering independence and empowerment for its clients and associates.

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.

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

Trade, Settlement & Reconciliation

• 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

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

Skills & Competencies

• 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

• Base salary
• Annual Performance Bonus
• Company 401(k) and matching program
• Medical coverage
• Dental coverage
• Vision coverage
• Continuing education reimbursement & licensing support