Supervisory Operations Manager

Janney • Houston, TX

8d

About The Position

The Supervisory Operations Manager oversees client activities across a Complex, which is a group of branches, and works closely with the Compliance, Legal, and Operations departments. The role coordinates compliance, legal, and operational matters involving the Complex with the Home Office and other firm staff. The manager also works closely with the Complex Manager, keeping them informed daily about problems or matters requiring their direct involvement.

The position supports compliance with firm policies and industry rules and regulations, coordinates Complex audits, and helps implement corrective actions when needed. It also involves maintaining advanced knowledge of products, services, technology, forms, and systems; conducting staff meetings for training on new policies, procedures, and regulatory requirements; and assisting with the screening and onboarding of Financial Advisor candidates. Some travel may be required.

Requirements

• High school diploma.
• Series 7, 9 and 10, 63, 65 and/or 66 licenses.
• 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

• Review and approve new account forms, client letters of authorization, and written and electronic sales correspondence.
• Review daily sales transactions, the daily blotter, and daily exception reports for the entire Complex.
• Keep the Complex Manager informed daily of problems and matters requiring the manager’s direct involvement.
• Work with Compliance staff to help ensure the Complex follows firm policies and industry rules and regulations.
• Coordinate Complex audits with the Compliance department and participate in implementing corrective steps when needed.
• Maintain advanced knowledge of products and services, technology, forms, and systems.
• Conduct regular staff meetings to train staff on new policies, procedures, and FINRA and state rules or regulations.
• Assist the Complex Manager in screening Financial Advisor candidates and potentially participate in onboarding new Financial Advisors.

Benefits

• Paid Parental Leave
• Generous Paid Time Off
• Eligibility for a $2,000 referral bonus
• Employee Ownership
• Professional Development Assistance Plan

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: High school or GED