Director of Operations

Thrivent•Peoria, IL

9d•$90,000 - $100,000

About The Position

Lakehurst Financial Group is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping our clients achieve multiple financial goals. Lakehurst Financial Group helps our clients analyze their current situation, develop in-depth financial programs, and help them implement an integrated financial strategy. Thrivent Financial is a faith-based, not-for-profit financial services organization with approximately 2.6 million clients. As the nation's largest fraternal benefit society, we're here solely to help others. We help every day through the financial solutions we offer, the client activities we support, and the resources we provide to the Christian community and nonprofit organizations. The Director of Operations is responsible for the function and performance of operations and support staff. Position 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 Director of Operations reports to and is employed by Lakehurst Financial Group.

Requirements

Minimum 5 years of experience in the investment industry
Minimum 3 years of experience overseeing others
Securities license (6/63, 7/66 or 7/63 & 65) and Life, Health and Annuity license may be required depending on responsibilities
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
Must be able to work with all roles of the Lakehurst Financial Group
Must be able to represent the organization in work with external clients
Must be able to cultivate and maintain relationships with outside organizations
Fingerprints will be required as part of FINRA registration process a for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records.
All persons with securities registrations are subject to TIMI’s Outside Securities Accounts Policy which requires all outside brokerage accounts to be maintained at one of the firms designated by TIMI.

Nice To Haves

Planning/Organizing
Customer Focus
Communication
Interpersonal Skills
Teamwork and Collaboration
Adaptability/Flexibility

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 Advisors 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
Oversee client account setup
Manually enter information provided by the FA into electronic application systems and email, lock sign or submit.
Note CANNOT be listed as the servicing representative AND need to note their FA is selling agent within the rep questionnaire.