Director of Operations

Job Description

The Nautical Group is a retained executive search firm partnering with clients to identify and recruit outstanding individuals capable of serving key disciplines at all levels of an organization. Our firm has been retained by Capital Investment Companies in the search for their next director of operations. For over three decades, Capital Investment Companies has grown to be one of the largest independent financial services and brokerage firms in the Southeast. Headquartered in Raleigh, the organization remains rooted in the belief that integrity, honesty and fairness are the means to retaining customer loyalty and achieving corporate success. By providing clients with diverse financial and investment services and focusing their efforts on personalized and individualized support in a localized region, Capital Investment Companies has earned a loyal following of thousands of investors who have entrusted them with managing more than $3 billion in assets.

The operations director at Capital Investment Companies will be a key member of the organization in its mission to help Financial Advisors across successfully serve their clients. This role is also responsible for providing exceptional leadership and effective supervision to the operations team.

Accountabilities include:

• Ensure day-to-day employee activities are completed, including coaching, performance management, recognition and conducting disciplinary action when needed,
• Recruit and onboard new team members, including certifying skill competency following training
• Review and approve new accounts and security transactions
• Handle escalations from Financial Advisors and Supervisory Managers
• Identify areas for process improvement and training needs
• Problem resolution, research, and complaint resolution
• Effective supervision of licensed staff to comply with all internal policies and regulations
• Safeguard clients, employees and business through disciplined execution of controls
• Foster and develop partnerships across the enterprise
  
  

The successful candidate will have:

• Bachelor’s degree in related field preferred; Series 24 required
• 5+ years or more of experience within independent brokerage operations
• Experience using the Pershing platform
• Ability to balance producing strong results with proper risk management, strong compliance record in previous position(s)
• Proven experience in a leadership capacity, ability to motivate at an individual and team level, experience overseeing other managers preferred
• Strong attention to detail and deadlines
• Strong organizational skills and problem-solving skills
• Excellent phone communication and listening skills
• Positive attitude, especially under adverse conditions
• Thrives overseeing and working as part of a coordinated team