Supervisory Operations Manager

Janney Montgomery Scott LLC•Houston, TX

About The Position

The Supervisory Operations Manager oversees all client activities within a Complex, a group of branches. The role works closely with Compliance, Legal, and Operations departments and coordinates Complex-related compliance, legal, and operational matters with the Home Office and other firm staff. The manager also partners with the Complex Manager on daily oversight, compliance, audits, training, and Financial Advisor hiring and onboarding.

Requirements

High school diploma.
Series 7, 9 and 10, 63, 65 and/or 66.
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 about problems and items requiring the manager’s direct involvement.
Work with Compliance staff to help ensure the Complex complies with firm policies and industry rules and regulations.
Coordinate Complex audits with Compliance and help implement corrective steps when needed.
Maintain advanced knowledge of products, services, technology, forms, and systems.
Conduct regular staff meetings for training on new policies and procedures and new FINRA and state rules or regulations.
Assist the Complex Manager in screening Financial Advisor candidates and potentially in onboarding new Financial Advisors.
Coordinate compliance, legal, and operational matters involving the Complex with the Home Office, Compliance, Legal, and other firm staff.