Private Wealth Operations Manager

Citizens•Charlotte, NC

2d•Hybrid

About The Position

The Wealth Ops Manager will be responsible for managing all activities relating to the Wealth Management function within the Operations Department and you will manage a team of Service and Support Specialists. The Wealth Ops Manager is responsible for the direct daily supervision, coaching, and development of the colleagues in their department.

Requirements

Demonstrated experience working in a Wealth Management Operations Team Lead role minimum of 3 years, or, proven experience in wealth management service and support.
5+ years Brokerage Operations experience needed.
FINRA Series 24, 63, 66, and Series 7 required, or ability to obtain within 90-days of joining.
Ability to prioritize multiple projects and tasks dependent on risk and client experience.
Expertise in Wealth Management Operations processes.
Knowledge of brokerage system and troubleshooting thereof
Excellent judgement and strong collaboration with the wider team
Proficiency in PC skills and MS Office
Excellent communication skills (verbal & written)

Nice To Haves

Demonstrated successful stable work history
Bachelors degree

Responsibilities

Manage the risks associated with transaction and exception processing of investment products in a bank environment.
Subject matter expert in all matters pertaining to Wealth Management Operations and will be responsible for providing guidance on escalated items.
Ability to resolve issues/escalations in a timely manner, with the ability to communicate resolutions to end clients and internal clients effectively.
Perform quality control audits on paperwork and transactions, to ensure service standards are met, policies and procedures are followed, and all risk and regulatory supervision is completed.
Manage, direct, and coordinate the daily activities of the Wealth Management operations group using independent judgement and discretion.
The productivity of the team, implementing strategy, and ensuring that all functions and colleagues are working in the most efficient manner possible.
Create, implement, and maintain formal coaching and development program.
Coaching and development of colleagues
Monitoring to ensure service levels are met
Embed and embrace continuous improvement within the team
Develop procedures and training plans as new products and services are deployed
Participate in system testing when necessary
Monitor daily workflows and make necessary adjustments to staffing
Provide exceptional customer service to clients and advisors
Work directly with other Wealth Ops Managers and leaders in support of decision making regarding all operational improvements or required procedure change
Ability to work effectively with sales leadership and sales managers daily