Complex Operations Manager - Warwick, RI

Janney•Warwick, RI

About The Position

The Complex Operations Manager is responsible for all operational, administrative and client support functions within a Complex (group of branch offices). The Complex Operations Manager also performs certain client supervision and support staff supervision for a Complex as delegated by the Complex Manager. This individual will function as an integral part of the Complex Manager’s team and work closely with the Compliance and Operations departments. Additionally, this individual will coordinate any operational matters involving the Complex with Home Office Operations staff and others in the firm.

Requirements

High School diploma, Bachelor’s Degree preferred
Professional Licenses: Series 7, 9 and 10, 63 and 65 (or 66)
Excellent customer service skills
Computer skills in Word, Excel, PowerPoint and Outlook
Able to work-effectively in a fast paced, deadline oriented environment.
Strong attention to detail
Able to work effectively as part of a team
Some travel may be required
High ethical standards
Ability to travel up to 15% of the time between branches

Responsibilities

Overall supervisory responsibility for all branch operations functions in the Complex including but not limited to: cashiering, disbursement of checks and securities, processing incoming and outgoing correspondence, account transfers, margin, distribution of wire traffic, home office reports, maintenance of order tickets, client correspondence, and other documents consistent with firm retention requirements.
Supervising and training all Complex support staff (Private Client Associates and Operations Assistants) to ensure that Financial Advisors (FAs) and clients receive superior service consistent with Janney policy and SRO rules.
Sourcing, interviewing, selecting, hiring, registering and training of new support staff members including Private Client Associates and Operations Assistants.
Conducting regular staff meetings as a forum for training on new policies and procedures and to facilitate open dialogue among Private Client Associates and/or other members of the support staff.
Providing feedback to support staff members on their performance both on a routine basis and through annual performance reviews; addressing performance issues in conjunction with Complex Manager and Human Resources.
Provide work direction to Private Client Associates and/or other members of the support staff and coordinate workflow within the office.
Assist others by acting as a resource in the areas of training, coaching, and mentoring.
Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems.
Perform other duties as required that contribute to the overall effectiveness of the position and the complex as a whole.
May be involved with on-boarding new FAs to the branch.
Coordinate Complex recruiting activities with the Regional Assistant and Home Office as required.