Securities Operations Manager

HUB International•Winter Park, FL

2d•Onsite

About The Position

The Operations Manager reports to both the 401(k) Service Advisor & the SVP, Retirement Practice Leader and provides operational management & support to the firm’s 401(k) & individual wealth management clients. This position consults directly with clients to address their financial needs & deliver customized solutions & support. This position requires a strong understanding of the securities industry, regulatory bodies and guidelines, meticulous attention to detail and professionalism and is critical to ensuring the achievement of the department’s goals.

Requirements

Strong understanding of financial services industry and diverse investment products
Basic computer skills (Outlook, Word, Excel and Power Point) are essential
Excellent communication skills, both verbally and in writing
Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
Ability to build relationships with clients and internal partners and influence others without direct control
Bachelor’s degree in finance, accounting or related field
3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
2-5 years of relevant experience

Nice To Haves

Previous experience in the independent financial services culture preferred
Applicable FINRA licenses preferred ( Series 7, 6, 65, 66 or 63)

Responsibilities

schedule all client meetings with 401k & wealth management clients
execute all wealth management trades, check requests, gather financial planning info & data entry
coordinate all new account paperwork for 401k & wealth management clients
coordinate all 401k fund change paperwork and employee notices between vendors & clients
assembling requisite paperwork, account reviews, report generation and meeting documentation
assist with individual employee participant proposals as needed
coordinate employee education sessions with 401k participants (either with Recordkeeper or internally presented by HUB)
maintain all client emails & communications
maintain all client data internally
responsible for all client downloads for new RPW software from record-keepers monthly
oversee new and existing 401k client transitions to new recordkeepers
manage client data and plans in financial planning software, eMoney
identify sales and asset retention opportunities; including viable alternatives when traditional solutions may not apply
additional duties as may be requested
manage all data entry into Morningstar & assist the Practice leader in assessment of prospect client’s existing portfolios

Benefits

Competitive salaries and benefits offerings
Medical/dental/vision insurance and voluntary insurance options
Health Savings Account funding
401k matching program
Company paid Life and Short-Term Disability Plans
Supplemental Life and Long-Term Disability Options
Comprehensive Wellness Program
Generous PTO Package - Vacation, Holiday, Sick, and Personal Time Off
Great work/life balance
Focus on creating a meaningful environment through employee engagement events
The ability to be a part of a motivated, winning team with the opportunity to learn from colleagues who are amongst the top talent in the industry!
Growth potential - HUB is constantly growing and so can your career!
A rewarding career that helps local businesses in the community
Strong community support and involvement through HUB Gives