Complex Operations Manager - Columbia, SC

Janney Montgomery Scott LLC•Columbia, SC

About The Position

The Complex Operations Manager is responsible for operational, administrative, and client support functions across a Complex, which consists of a group of branch offices. The role also performs client supervision and support staff supervision as delegated by the Complex Manager. The position is an integral part of the Complex Manager’s team and works closely with the Compliance and Operations departments, coordinating operational matters with Home Office Operations staff and others across the firm. The manager oversees branch operations and supervises and trains Complex support staff, including Private Client Assistants and Operations Associates. The role supports high-quality service to Financial Advisors and clients in accordance with Janney policy and SRO rules, helps coordinate workflow and recruiting, and may assist with onboarding new Financial Advisors.

Requirements

High school diploma.
Series 7, 9, and 10 licenses, and Series 63 and 65 (or 66).
Excellent customer service skills.
Computer skills in Word, Excel, PowerPoint, and Outlook.
Ability to work effectively in a fast-paced, deadline-oriented environment.
Strong attention to detail.
Ability to work effectively as part of a team.
High ethical standards.

Nice To Haves

Bachelor’s degree preferred.

Responsibilities

Oversee branch operations throughout the Complex, including cashiering, check and securities disbursements, incoming and outgoing correspondence, account transfers, margin, wire traffic, Home Office reports, order tickets, client correspondence, and document retention.
Supervise and train Complex support staff, including Private Client Assistants and Operations Associates, to support service consistent with Janney policy and SRO rules.
Source, interview, select, hire, register, and train new support staff.
Conduct regular staff meetings to train staff on new policies and procedures and encourage open dialogue.
Provide routine performance feedback and conduct annual performance reviews; address performance issues with the Complex Manager and Human Resources.
Provide work direction to support staff and coordinate office workflow.
Serve as a resource for training, coaching, and mentoring.
Maintain advanced knowledge of products, services, technology, forms, and systems.
Perform other duties that contribute to the effectiveness of the position and Complex.
May assist with onboarding new Financial Advisors to the branch.
Coordinate Complex recruiting activities with the Regional Assistant and Home Office as required.