Director of Operations

Summary

The Operations Director is responsible for the function and performance of operations and support staff. Operations Directors 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 Operations Director reports to and is employed by Capital Region Group.
This position is full time, remote. This is a 1099 position compensating between $80-100,000 annually dependent upon experience. This role is eligible for a 10-20% bonus, 1 week PTO and paid holidays.

Job Description

Responsibilities      

• 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
• Respond and execute A client service requests as appropriate
• Step in as backup for others on the team as needed
• Other responsibilities as assigned by Lead Advisor

Qualifications

• Minimum 4 years of experience in the investment industry
• Minimum 2 years of experience overseeing others
• 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

As part of Capital Region Group's 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.

Determine the need for future access to Wealthscape.  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.