Brokerage Operations Leadership Opportunity in Financial Services

Transitions Operations Manager

Summary:

The Transitions Operations Manager is responsible for all aspects of production and service delivery for incoming Transitioning Financial Professionals. Our ideal candidate ensures the quality and timeliness in service delivery. The Transitions Operations Manager is responsible for development and performance management of all team personnel.

The Transitions Operations Manager role requires someone who is self-motivated and can motivate others. This Manager position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately. Additionally, the Transitions Operations Manager role requires the ability to identify when action is necessary to ensure adherence to policies and procedures and to meet goals.

Responsibilities:

• Directly manage 10-15 employees within the Operations Department.
• Carry out managerial duties in accordance with the organization’s policies and applicable laws.
• Responsible for the daily oversight of team personnel, workflow, processing procedures and problem resolution.
• Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met.
• Continually seek out and implement efficiencies and service/process enhancements. Actively analyses problems, determine casual factors and implement corrective actions. Exercise strong problem solving and decision-making skills.
• Determine and manage staffing levels for the team; select candidates for open positions, conduct interviews and work with the Director, Operations to extend employment offers to highly qualified individuals.
• Manage cross-organizational projects and demonstrate negotiating skills. Must be able to build effective business relationships with internal departments, financial advisors, and external service providers.
• Accountable for staff and team development by providing the tools and training need to achieve success. Provide career planning, goal setting, and coaching support to team members.
• Enforce department budget and ensure cooperation occurs within budget guidelines. Work with Director, Operations to identify budget line items and plan for the budget year
• All other duties as assigned.

Education Requirements:

• Bachelor’s Degree from accredited university is required

Basic Requirements:

• At least 5 years industry experience, inclusive of 2 years a supervisor/manager.
• Must already be proficient in the following: Microsoft Excel, Word, Outlook and Internet Explorer.
• Must become proficient with the following systems: Pershing LLC - NetX360 platform, Wealthscape, Front-End Imaging (FEI), SalesForce (contact management and imaging workflow systems), Client Central, DST Vision, Albridge and back office functions.
• Must be able to acquire and retain knowledge of securities industry rules, Individual Retirement Account IRS rules, and best practices regarding brokerage account operations and have strong organizational and time management skills.
• Must be team-oriented and client-focused

Preferred Requirements:

• FINRA Series 7 preferred
• FINRA Series 63, Series 65, or Series 66 preferred

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.