Operations Supervisor

We are committed to building an inclusive culture where different perspectives are valued and recognized as strengths that drive success. If you thrive in an environment where growth and development are encouraged, this could be a strong opportunity for you.

Candidates are expected to represent their own experience and qualifications accurately throughout the hiring process. All new hires are subject to a thorough background check.

The AIS Operations Supervisor leads and develops the AIS Operations Processing team to ensure accurate, timely, and compliant processing for both internal and external clients. This person will oversee day-to-day operations, resolve escalated issues, identify process improvement opportunities, and help strengthen quality and efficiency across workflows. This is an excellent opportunity for a licensed operations professional looking to expand leadership experience and make a meaningful impact on operational excellence.

This is a hybrid position
, with a mix of in-office and remote work.

• Oversee the daily workflow of the AIS Operations Processing team to ensure accuracy, timeliness, and regulatory compliance.
• Coach and develop team members through training, productivity monitoring, performance feedback, and cross-training to ensure full team coverage.
• Conduct suitability reviews, run exception reports, and support trade review and release rule management for the broker/dealer.
• Resolve escalated client and sales team issues by researching and delivering accurate, risk-appropriate solutions.
• Evaluate operational processes, identify efficiency opportunities, update procedures, and deliver training on new or revised workflows.
• Lead operational tasks and deliverables for assigned projects, ensuring successful execution against objectives and deadlines.
• Monitor brokerage systems, reconcile daily vendor data feeds, and communicate system updates or operational impacts to colleagues.
• Develop and manage Operations and Compliance training curriculum for both new and existing team members.

Required:

• Associate degree in Business, Management, Finance, or equivalent professional experience
• 2+ years of brokerage/securities operations experience with supervisory responsibility
• Active Series 7, Series 63 (or 66), and Series 24 licenses
• Series 99 license, if required based on role scope

Preferred:

• Bachelor’s degree in Business, Management, or Finance
• 5+ years of brokerage/securities operations experience with supervisory responsibility