Financial Services-Operations Manager

The Operations Manager oversees all B/D operational processes, including opening new accounts, account maintenance, and servicing, ensuring compliance with regulatory requirements. This role identifies financial professionals’ needs to enhance operations and client experience, implements process improvements based on metrics, and sets performance goals for the team. The Operations Manager leads staff for optimal results and supports the Director of Operations with special projects.

• Responsible for day-to-day supervision of Operations Department and staff
• Provide expertise to the department on Prospera platforms
• Process escalated client experience opportunities
• Daily sign off on banking, signature guarantee, and asset movement.
• Responsible for documenting compliance tasks daily / weekly / monthly
• Responsible to daily dashboard monitoring to ensure timely approvals
• Develop client communications regarding systems, products, and issues
• Preparation (with marketing) of the RUN weekly newsletter
• Liaison with First Clearing, RBC, and SEI
• Oversee Operations policy and procedure management
• Oversight of the creation, update, and maintaining of operations resource center
• Maintain the Operations section of the Intranet
• Manage any risk associated with daily business
• Responsible for Service Associate Council and assisting with Service Associate University
• Provide a 5 Star Client Experience to our internal and external clients through our Service Standards
• Various other duties as necessary

Direct reports

• College Degree required;
• 5+ years of direct broker-dealer operations experience OR broader broker-dealer experience

• Ability to be strategic
• Good organizational skills and strong attention to detail
• Customer Service focused
• In-depth knowledge of financial services’ state and federal regulations
• Ability to communicate both verbally and in writing in a professional and effective way
• Excellent analytical skills
• Ability to multi-task
• Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
• Salesforce experience preferred

• Series 7 (or equivalent)
• Series 63/65 or 66
• Series 24

• Ability to speak, to hear and to operate business equipment such as computers, printers, etc.