Operations Director


The responsibility of this individual is to oversee the administrative personnel within the office.  Leading, organizing and coordinating the operations and procedures under the direction of the CEO/Financial Advisor and the Business Manager.

Responsibilities and Activities:

  • Assists CEO/Financial Advisor

    • Filter all calls when needed

    • Document client contact by sending an email to office associates

    • Assist where needed
  • Monitors and maintains compliance-related issues / procedures

    • Maintain compliance manual / files

    • Assist in overseeing audits

    • Monitor contact management system to ensure notes are recorded

    • Review Associate Advisors’ business applications
  • Reviews and oversees paperwork related to client meetings

    • Process new accounts

    • Process account transfers

    • Process new contributions and redemptions

    • Process beneficiary changes

    • Make final edits on customized recommendation letters and follow-up letters

    • Document client files /contact management system

    • If necessary, prepare client files
      • Note: Financial Advisors Assistant and Financial Services Assistant to prepare initial paperwork

  • Meets with clients to complete paperwork and answer questions

  • Joins Financial Advisor in occasional meetings with customers

    • Assist Advisor where needed

    • Gain critical knowledge about the meeting experience

    • Understand Advisor’s recommendations and goals of the meeting
  • Researches customer and Financial Advisors’ requests

    • Take necessary actions to resolve problems / inquires

    • Document client files / contact management system
  • Trade processing

    • Place trades and rebalance accounts

    • Review confirmations and record all trades

    • File or e-file appropriate documentation in client files

    • Oversee all trades that are done in the office
  • Manages website and social media presence in coordination with the owners to ensure fresh content

  • Manages and delegates responsibilities for special projects

    • Setup of processes and systems for staff and advisors

    • Implement new projects and manage existing projects with Business Manager

    • Annual RMD’s
  • Monitors administrative staff

    • General supervision of all office staff

    • Review all outgoing office correspondence

    • Assist business manager with hiring, training, and performance reviews
  • Develops and maintains written procedures and activities for all positions within the office


  • Constant communication with the office staff and Business Manager

  • Update staff on procedural changes

  • Completes top six lists daily and prioritize activities for next day or use the contact management program

  • Work week to average 45 hours

  • Report to Tim Reis – CEO/Financial Advisor, Nancy Reis – Business Manager

Knowledge, Skills, and Qualifications:

  • Requirements:

    • Excellent knowledge of financial services industry’s rules and regulations

    • FINRA Series 7 and 63 along with Life and Health Insurance licenses

    • Excellent interpersonal skills

    • Excellent attitude and extraordinary client service orientation

    • Excellent analytical skills

    • Genuine interest in servicing and caring for other people

    • Excellent organizational and time management skills

    • Creativity

    • Ability to handle multiple tasks and operate in tight deadlines
    • Detail-oreinted

    • Team Player

  • Helpful:
    • FINRA Series 65/66 licenses
    • Previous supervisory experienence


Apply by completing our online survey and upload your resume by accessing the following link:   http://www.cindexinc.com/c/2C44E8