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 managementDrive initiatives that help the firm enhance profitability and achieve business objectivesDevelop, execute, and oversee workflow, processes, and Standard Operating Procedures for practiceWork with Lead Advisor to determine staffing needsDetermine training and onboarding plan for new hiresDevelop and maintain job descriptionsManage support staffDevelop criteria to gauge team effectivenessConduct bi-annual performance reviewsPrepare and facilitate weekly team meetingsLead strategy, development, and implementation of projectsDrive culture within the team by scheduling team eventsUpdate policies and procedures in accordance with SEC and FINRA standardsOwn practice marketing efforts to increase brand awareness and drive new businessWork with marketing team to manage the production, scheduling, posting, and reporting of all marketing content and campaignsDevelop and maintain all regulatory filesMonitor and support licensing and continuing education requirements for all members of the teamRespond and execute A client service requests as appropriateStep in as backup for others on the team as neededOther responsibilities as assigned by Lead Advisor

QualificationsMinimum 4 years of experience in the investment industryMinimum 2 years of experience overseeing othersStrong interpersonal skillsComplete knowledge of financial products used by the firmThorough understanding of the technology used by the firm and how it applies to clientsStrong 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 interruptionsAbility 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.