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Manager of Operations (Fees)

Securities America, Inc. La Vista, NE

Job Description

Position Overview:
The primary responsibilities of this position are to supervise the personnel and daily workflow of the Fee team. Other responsibilities include maintaining quality, coaching, and developing of the team.  Also leading and/or participating in Enterprise and department initiatives.

Position Requirements:
• Bachelor’s degree in business related field or equivalent professional experience
• 3+ years securities industry experience required
• 1 + years supervisory or team lead experience required
• 1+ years fee based experience
• Series 7, 24, and 66 industry licenses required or ability to earn within 3-9 months of hire
• Series 99 required
• Experience working in multiple functional areas within the securities industry preferred
• Ability to be at work on a regular and predictable basis
• Ability to build consensus and support for ideas and initiatives
• Ability to collect and analyze data, evaluate information and systems and draw logical conclusions
• Ability to create and deliver training presentations
• Ability to develop efficient and effective operating procedures and practices
• Ability to effectively communicate in person, via telephone, and/or by email with customers,  co-workers, and various business contacts in a courteous and professional manner
• Ability to maintain confidentiality
• Ability to organize, prioritize, and handle multiple tasks in pressure situations in order to meet deadlines
• Ability to plan and implement organizational and department goals
• Ability to review and revise processes and procedures
• Knowledge of SAI, SAA, APA SEC & FINRA rules and regulations
• Participate in Enterprise Projects
• Knowledge of and belief in the Quality improvement process
• Knowledge of supervisory techniques to accomplish instruction, motivation, and training of personnel
• Skill in effective project leadership, training, and group facilitation
• Ability to review work for accuracy
• Knowledge of SAI technology platforms/systems
• Skill in operating various office equipment including personal computer and various software packages (Microsoft Word, Excel, Outlook, PowerPoint, Access, and Visio)
• Skills in verbal and written communication

Position Duties/Responsibilities:
This position is responsible for, but not limited to the following:
1. Manage the activities of the Fee team
     • Resolve personnel issues
     • Perform performance reviews
     • Train and develop staff
     • Participate in selection of staff
     • Maintain high morale
     • Act as information resource to the Fee team
     • Engage staff and participate in management activities
2. Maintain service quality for the Fee team
     • Create systems and procedures to maintain department service, performance, and quality standards
3. Develop and implement departmental goals
     • Develop and implement procedures to achieve organizational goals
4. Investigate and resolve operational errors and losses
5. Conduct regular and individual team meetings, coach performance and identify opportunities for proactive improvements
6. Review and maintain current department systems and written procedures
7. Prepare proposals to director for resolution regarding Quality, Efficiency and Service enhancements
8. Manage daily workflow
9. Assist in the development of risk management procedures
10. Oversee special audits and special projects
11. Act as team liaison to other teams/departments, quality groups, and transition teams
12. Perform other duties as assigned


Job Details

Date Posted October 12, 2017
Date Closes November 11, 2017
Located In La Vista, NE
Department Operations
Function Fee Team
Job Type Full-time Employee
Mon: 8 am to 4 pm
Tue: 8 am to 4 pm
Wed: 8 am to 4 pm
Thu: 8 am to 4 pm
Fri: 8 am to 4 pm
Start Date Immediately
Positions Available 1
SOC Category 11-3031.02 Financial Managers, Branch or Department
Zipcode 68128
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589