Operations Manager

Ascendo is excited to present this opportunity in the financial services industry. We are seeking an exceptional individual to join our client's team as an Operations Manager. This is a management-heavy position, and the ideal candidate will have extensive knowledge of FINRA regulations, a strong background with custodian platforms, and a 3+ years of experience in a similar role. This is an amazing opportunity for a seasoned professional to lead a dynamic team make a significant impact on our operations.

Responsibilities:

• Lead a team of 10+ individuals responsible for various client servicing tasks, including account openings and asset management.
• Review and approve new account documentation and client financial information to ensure compliance with company policies.
• Supervise the daily workflow of the operations department and distribute tasks to meet operational plans.
• Serve as a key point of contact for internal projects and process improvements within the department.
• Handle operational escalations and provide guidance to team members on complex issues.
• Participate in the hiring and training of new team members, providing performance feedback and mentorship.

Qualifications:

• Bachelor's degree in Business Administration or a related field, or equivalent professional experience.
• Demonstrated experience with FINRA rules and regulations.
• Proficiency with various multi-custodian platforms and financial industry products.
• Possession of FINRA licenses 7 and 66 required. Additional licenses in the operations space like the Series 99 or Series 24 are highly considered.
• Exceptional leadership, communication, and interpersonal skills.
• Strong analytical abilities and a detail-oriented approach to problem-solving.
• Proven ability to manage multiple tasks and prioritize effectively in a fast-paced environment.
• Strong understanding of legal documentation and compliance regulations, including AML.

ALL RESUMES RECEIVED WILL REMAIN HIGHLY CONFIDENTIAL AND NOT RELEASED TO ANYONE WITHOUT YOUR CONSENT.