Brokerage Operations Manager

The Brokerage Operations Manager is responsible for carrying out the goals and the daily execution of the Brokerage Operations department functions and driving business growth of the department through effectively responding to the needs of our clients, advisors and team. Operations Manager is responsible for managing and accountability of a team of associates charged with executing day-to day business and mitigating financial, operations, regulatory and reputation risk to the firm. Identify and support deadline sensitive financial transactions processing as well as maximize the production of non-deadline sensitive processing and research. Operations Manager effectively delegates tasks with clearly defined responsibilities. Foster a collaborative environment working with Advisors, office staff and other home office departments including Compliance, Customer Service, Financial Services, and Technology.

Duties:

Manage team resources and ensure team performance conforms to regulatory requirements and meets department productivity and quality standards.

• Work collaboratively with management staff to set priorities, monitor activity and ensure completion of work.
• Perform regular review of team work practices to ensure quality and compliance with internal and regulatory standards.
• Critically think beyond day to day operations and analyze a variety of factors and metrics when making decisions for the department.
• Take ownership on escalated issues and exception management and delegate as appropriate to drive resolution.
• Identify, develop and implement training opportunities/strategies using experience as well as corporate and divisional resources.
• Direct and mentor the professional growth and success of associates.
• Successfully manage a performance model that recognizes and rewards the achievement of individual, team, department, and corporate goals.
• Maintain, design and implement process control procedures and department procedures and user guides where necessary to ensure timely processing and mitigate risk.
• Focus on identifying, developing and implementing opportunities to improve and/or streamline the client/advisor experience.
• Perform in a supportive role in maintaining the relationship with business partners and clearing firm.
• Represent the department in corporate strategic initiatives as a key stakeholder.

Qualifications:

• Bachelor’s degree in finance, economics, business administration, or related area or equivalent combination of education and experience preferred.
• 5 plus years of experience in the financial services industry.
• Familiar with a variety of Financial/Brokerage industry concepts, practices, and procedures
• Strong oral, written and organizational skills
• Proficient use of Microsoft Office Suite
• FINRA Series 7 required
• FINRA Series 24 required

Additional Abilities

• Problem-solving skills with the ability to analyze trends and identify and communicate problems or concerns.
• Demonstrate confidence, skill, and professionalism needed to resolve critical issues in a manner that strengthens the client relationship and mitigates risk for the firm.
• Executes with a sense of urgency, a drive to make an impact, and a high level of self-confidence.
• Must be able to work well in high pressure situations and elevated workloads.
• Desire and ability to actively and positively contribute within a highly collaborative team setting
• Willingness to remain responsive and flexible in a dynamic environment
• Ability to engage partners internally and externally in a professional and productive manner to maintain a high level of performance and service

Job Type: Full-time

Pay: $90,000.00 - $110,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Work Location: In person