Director of Operations

Summary

Heart of Texas Associates is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping our clients achieve multiple financial goals. Heart of Texas Associates helps our clients analyze their current situation, develop in-depth financial programs, and help them implement an integrated financial strategy.

Thrivent Financial is a faith-based, not-for-profit financial services organization with approximately 2.6 million clients. As the nation's largest fraternal benefit society, we're here solely to help others. We help every day through the financial solutions we offer, the client activities we support, and the resources we provide to the Christian community and nonprofit organizations.

Position summary:
The Director of Operations is responsible for the function and performance of operations and support staff. Position will typically supervise staff in the performance of their duties and may be responsible for establishing or contributing ideas for department processes, procedures, and protocols. The Director of Operations reports to and is employed by Heart of Texas Associates.
Compensation ranges between $110-120,000 annually dependent upon experience and any licensure.
Benefits include PTO, IRA with 3% match, and Health insurance.
This position has a first-year growth track to obtain the Life and Health insurance license for the state of Texas as well as the FINRA SIE/7/66 licensing.

Job Description

Position Roles/Responsibilities/Accountabilities

• Promote the firm’s mission, culture and core values through day-to-day leadership and management
• Drive initiatives that help the firm enhance profitability and achieve business objectives
• Develop, execute, and oversee workflow, processes, and Standard Operating Procedures for practice
• Work with Lead Advisor to determine staffing needs
• Determine training and onboarding plan for new hires
• Develop and maintain job descriptions
• Manage support staff 
• Develop criteria to gauge team effectiveness
• Conduct bi-annual performance reviews
• Prepare and facilitate weekly team meetings
• Lead strategy, development, and implementation of projects
• Drive culture within the team by scheduling team events
• Update policies and procedures in accordance with SEC and FINRA standards
• Own practice marketing efforts to increase brand awareness and drive new business
• Work with marketing team to manage the production, scheduling, posting, and reporting of all marketing content and campaigns
• Develop and maintain all regulatory files 
• Monitor and support licensing and continuing education requirements for all members of the team 
• Oversee client account setup
• Provides back-up support on tasks that do not require any type of licensing or registration for other staff members, as needed  
• Other responsibilities as assigned by Lead Advisor 

Position Qualifications

• Minimum 5 years of experience in the investment industry 
• Minimum 3 years of experience overseeing others
• Securities license (6/63, 7/66 or 7/63 & 65) and Life, Health and Annuity license may be required depending on responsibilities
• Strong interpersonal skills
• Complete knowledge of financial products used by the firm
• Thorough understanding of the technology used by the firm and how it applies to clients
• Strong technical computer aptitude and knowledge of business tools (e.g., Microsoft Word, Excel, PowerPoint, Salesforce) 
• Ability to handle multiple tasks and maintain a high quality of work while experiencing frequent interruptions
• Ability to maintain integrity of sensitive/confidential information

Competencies

• Planning/Organizing
• Client Focus

• Communication
• Interpersonal Skills
• Teamwork and Collaboration
• Adaptability/Flexibility

External/Internal Dependencies

• Must be able to work with all roles of the Heart of Texas Associates  
• Must be able to represent the organization in work with external clients
• Must be able to cultivate and maintain relationships with outside organizations

As part of Heart of Texas Associates’ recruiting/hiring/contracting process, a verification of a candidate's background will be made to complete the hiring/contracting process. In addition, fingerprints will be taken for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records.

All persons with access to Wealthscape are deemed Access Persons and are subject to Compliance with the firm’s Code of Ethics which requires all outside brokerage accounts to be maintained at one of the firms designated by TIMI.