Operations Manager

Operations Manager Role:

This role is critical to the branch running smoothly and efficiently in meeting service excellence standards, and reports directly to the Branch Manager. Salary is negotiable based upon experience.

Responsibilities:

• Process money movements of funds in accordance with FINRA rules
• Handles client disbursements and delivery
• Process cancellations and corrections of orders
• Oversees the account opening process
• Works with the Branch Control Officer to ensure compliance with the Firm’s policies and procedures
• Resolves client service issues
• Trains and manages operational support staff
• Acts as liaison between the Branch and all Firm infrastructure areas
• Assist with Audit preparations
• Support client onboarding
• Provides any special support for sales force as requested by Branch Manager

Qualifications:

• Strong attention to detail and accuracy
• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• Excellent verbal, written, and interpersonal communication skills
• Effective organizational, multi-tasking, and prioritizing skills
• Able to work independently, proactively and innovatively while exercising sound judgment
• Intelligent, enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members
• High ethical standards
• Excellent time management skills and anticipates potential issues
• Strong working knowledge of Microsoft Office suite

Requirements:

• At least 5+ years of brokerage/financial services experience along with some management experience
• Series 7, 8 (or 9 & 10 in lieu of 8), 63 & 65

Recommended Skills

• Attention To Detail
• Auditing
• Brokerage
• Customer Service
• Ethics
• Finance