Complex Supervisory Manager - Garden City, NY

Janney•Garden City, NY

2d•$93,000 - $105,000

About The Position

The Complex Supervisory Manager works closely with the Complex Director to ensure that all operations functions are promptly and accurately performed within the Complex. The Complex Supervisory Manager serves as the primary liaison with the Complex Director as well as home office departments including Operations, Human Resources, Compliance, Training and Private Client Group (PCG) Administration. This individual leads complex employees to coordinate activities relating to managing the business, developing the team, and evolving for a changing environment. MAJOR RESPONSIBILITIES 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. Process deposits and disbursements; review for appropriateness and accuracy. Responsible for working with home office for check deposits and check issuance. Receive, prioritize and process orders. Review and analyze reports including: Margin report, cash deposit report, error report, order errors, syndicate allocations. Coordinate Approval Processes including: New Accounts, ACH, Wire Transfers, Journals, Annuities, Alternative Investments, POAs, brokerage documentation, legal transfers, stock options, etc. Forward securities and supporting documentation to home office. Process incoming and outgoing correspondence. Distribute branch mail, faxes, and morning reports. Coordinate with Complex Director and Home Office Compliance Department on Client Escalations. Coordinate and assist with Complex Directors Expense Reports. Coordinate Marketing approvals and expenses for events and sponsorships (AdTracks and EQ) (Tracking from wholesaler funds on golf; entertainment, etc.) Manage all resources required for complex (technology, suppliers, etc.) Assist in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e. holiday party). Liaise with home office associates to handle challenges or implement improvements. Help educate, reaffirm, and communicate firm initiatives including: goals, positioning and messaging to the complex. Ownership of master prioritized Complex Project List. Proactive ideas and activities in seeking ways to systematize the complex to increase efficiency and effectiveness. Ownership and driver of all Complex Standard-Operating-Procedures. Help coordinate/facilitate Complex Directors Calendar including scheduling. Serve as liaison between branches and home office. Perform other duties as required that contribute to the overall effectiveness of the position and the complex as a whole. Provide assistance to Field Support Roles Provide work direction to Private Client Associates and/or other members of the support team and coordinate workflow within the branch offices. Facilitate Private Client Associate Monthly Meeting also serving as ‘expert’/ communicator for operational and firm support initiatives. May sometimes perform duties of a Private Client Assistant and work with FAs within the Complex and assist peers when necessary. 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, solutions, and services; technology, forms and systems. Aid in facilitation of the on-boarding of new FAs and PCAs. Assist Complex Director in facilitating performance reviews & professional development plans for PCAs (preparation and follow up). Coordinate all home office visits from product/solution departments. Assist in coordination of recruiting activities (advisors, support, teams) with Complex Director and Home Office. Organization/administration: From Sourcing è “Janney Good-Fit” è Discovery è Relationship Building è Approvals/Offer è Onboarding/Integration. (Note: Ability to earn additional comp based on level of recruiting engagement.) Assist in communicating and promoting key firm initiatives and goals. Note: Ability to earn additional comp based on level of complex attaining those goals. (2026: Organic Growth; In-organic Growth, Financial Planning, Advisory conversions) Coordinate and build relationships with external resource providers (i.e. wholesalers, etc.) Build trusted relationships with all levels of complex associates. Perform other duties as required that contribute to the overall effectiveness of the Complex and individual advisors and support.

Requirements

High School diploma, Bachelor’s Degree preferred
Series 7, 9 and 10, 63 and 65, or 66 (all required); if you have significant relevant work experience, the 9 and 10 would need to be obtained immediately upon hire
Strong communication and active listening skills
Excellent client service skills
Strong computer skills in Word, Excel, PowerPoint, Outlook, Sales Force, Thompson One
Able to work-effectively in a fast paced, deadline-oriented environment.
High ethical standards
Proactive and intentional (doesn’t wait to be told what to do)
Strong attention to detail
Strong problem solving skills
Ability to work effectively as part of a team; both taking direction and thinking-forward to next steps
Ability to see strategically (big picture) and execute tactically (granular elements of the plan)
Goal oriented, task-driven
Reliable, follows through on commitments
Highly adaptable with ability to pivot in an ever-changing and evolving environment
Ability to build strong trusted relationships with complex employees
Some travel may be required

Responsibilities

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.
Process deposits and disbursements; review for appropriateness and accuracy.
Responsible for working with home office for check deposits and check issuance. Receive, prioritize and process orders.
Review and analyze reports including: Margin report, cash deposit report, error report, order errors, syndicate allocations.
Coordinate Approval Processes including: New Accounts, ACH, Wire Transfers, Journals, Annuities, Alternative Investments, POAs, brokerage documentation, legal transfers, stock options, etc. Forward securities and supporting documentation to home office.
Process incoming and outgoing correspondence. Distribute branch mail, faxes, and morning reports.
Coordinate with Complex Director and Home Office Compliance Department on Client Escalations.
Coordinate and assist with Complex Directors Expense Reports.
Coordinate Marketing approvals and expenses for events and sponsorships (AdTracks and EQ) (Tracking from wholesaler funds on golf; entertainment, etc.)
Manage all resources required for complex (technology, suppliers, etc.)
Assist in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e. holiday party).
Liaise with home office associates to handle challenges or implement improvements.
Help educate, reaffirm, and communicate firm initiatives including: goals, positioning and messaging to the complex.
Ownership of master prioritized Complex Project List.
Proactive ideas and activities in seeking ways to systematize the complex to increase efficiency and effectiveness.
Ownership and driver of all Complex Standard-Operating-Procedures.
Help coordinate/facilitate Complex Directors Calendar including scheduling.
Serve as liaison between branches and home office.
Perform other duties as required that contribute to the overall effectiveness of the position and the complex as a whole.
Provide work direction to Private Client Associates and/or other members of the support team and coordinate workflow within the branch offices.
Facilitate Private Client Associate Monthly Meeting also serving as ‘expert’/ communicator for operational and firm support initiatives.
May sometimes perform duties of a Private Client Assistant and work with FAs within the Complex and assist peers when necessary.
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, solutions, and services; technology, forms and systems.
Aid in facilitation of the on-boarding of new FAs and PCAs.
Assist Complex Director in facilitating performance reviews & professional development plans for PCAs (preparation and follow up).
Coordinate all home office visits from product/solution departments.
Assist in coordination of recruiting activities (advisors, support, teams) with Complex Director and Home Office. Organization/administration: From Sourcing è “Janney Good-Fit” è Discovery è Relationship Building è Approvals/Offer è Onboarding/Integration.
Assist in communicating and promoting key firm initiatives and goals.
Coordinate and build relationships with external resource providers (i.e. wholesalers, etc.)
Build trusted relationships with all levels of complex associates.
Perform other duties as required that contribute to the overall effectiveness of the Complex and individual advisors and support.