Director of Operations – Financial Services

TeamLMI, an organizational development firm providing Retained Search and Recruitment Placement Outsourcing Solutions, is assisting a well-established financial services firm inxc2xa0Wilmington, DE, in hiring axc2xa0Director of Operations.xc2xa0xc2xa0This position will support trading, supervision, compliance, research, and reporting and is a great opportunity for an individual with experience in securities and trading to grow as the business grows.The work environment of the company is professional yet casual in a friendly and highly collaborative team environment.xc2xa0 The company offers a competitive base salary with bonus, paid time off, and flex time.Duties and Responsibilitiesxc2xa0Collaborate with the team to find efficiencies in the daily operations of the firmxc2xa0Oversee all securities trading operations which include Model Management and making the appropriate changes to each model in our portfolio management software when model portfolio is updatedxc2xa0Handle all trading and knowledge around related softwarexc2xa0Serve as Branch Manager Delegate to oversee compliance and supervisory requirementsxc2xa0xc2xa0xc2xa0Oversee compliance which includes learning and creating procedures for following industry regulationsxc2xa0Serve as our point person for our annual compliance auditxc2xa0Ensure that the branch is following proper supervisory protocols and developing procedures accordinglyxc2xa0Assist in the preparation for client meetingsxc2xa0Oversee the operational aspects of strategic planning for the firmxc2xa0Work with our bookkeeper to provide information needed for our financial statements.xc2xa0Project Management- Oversee the successful completion of large firm projectsxc2xa0Track business development efforts and other key firm metricsxc2xa0Support the Financial Planning/Investment Management team with research for complex casesxc2xa0Serve as the operations member of the Investment Management Committeexc2xa0Assist in research for thought leadership piecesxc2xa0 Maintain appropriate licenses and continuing education requirementsQualificationsxc2xa04-year degree from an accredited university is requiredxc2xa0A minimum of 3 years of experience in financial services and securities is requiredxc2xa0Experience with branch audits and regulatory affairs is a plusxc2xa0Active Series 7 and 66 licenses requiredxc2xa0Active Series 9/10 or 24 is a plus, or have the ability to obtain ongoing employment with training provided by the firmxc2xa0Strong analytical and critical thinking skillsxc2xa0xc2xa0Enjoy helping people with financesxc2xa0xc2xa0Excellent verbal and written communication skillsxc2xa0Conscientious with high standards for both quality and quantity of workxc2xa0Strong organizational, reading, writing, and mathematical skillsxc2xa0Strong attention to detail and accuracyxc2xa0Collaborative attitude and team spirit with the ability to work well with othersxc2xa0Strong computer skills with the ability to effectively use Microsoft Office and comfortable learning and using technology