Director Financial Institution Conversions

Ameriprise Financial•Charlotte, NC

57d

About The Position

In this role, you will provide leadership for a clearing broker dealer settlement team accountable for providing complex operations activities to client and advisors. Settlement activities include DTC settlement, processing dividend and reorganization activities, and handling physical certificates. This includes resolving escalated advisor issues, lead process improvement initiatives, identifying and analyzing trends to implement solutions to increase advisor and client satisfaction, and managing strategic relationships across multiple channels for delivery of operations services.

Requirements

7-10 years of relevant experience
Associate degree or equivalent (2-years)
Broker Dealer and/or tape to tape experience required
Active FINRA Series 7

Nice To Haves

Strong relationship management/influencing skills
Ability to analyze root cause and implement solutions
Demonstrated ability to lead cross-functional process improvement teams
Previous people leadership experience
Bachelor's degree or equivalent (4-years)
Strong working knowledge of Operations techniques (DTC or settlement experience is a plus)

Responsibilities

Lead a team of professionals providing complex operations activities to advisors, including regulatory supervision to ensure that compliance and regulatory requirements are met.
Ensure timely and accurate resolution of escalated advisor issues.
Develop and manage cost effective, efficient and compliant operational strategies to ensure advisor and client's needs are met.
Manage department P&L, focusing on managing controllable expenses, including vendors.
Manage relationships with a variety of internal and external business partners and advisors to identify root cause of operational and service issues.
Implement solutions to increase advisor and client satisfaction, while ensuring all operational, financial, and regulatory requirements are met.
Provide thought leadership on process improvements and business transformation activities. Ensure effective implementation of strategies.
Provide effective people leadership through effective coaching, feedback and sound performance management practices.
Act as champion for the team and intervene on matters that create roadblocks to individual or organizational success.
Set department initiatives and aligns and sets individual performance goals.