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Financial Operations Director - Relocation Provided

Securities America, Inc. La Vista, NE

Job Description

The primary responsibility for this job is to provide leadership and management to the Service Operations department by formulating, communicating, and implementing business strategies in support of company goals and objectives.  Additional responsibilities include effectively organizing department structure and processes; managing and developing department directives; ensuring complete and up-to-date standard operating procedures; building strong relationships with clients, vendors and across the enterprise; and working closely with other departments to carry out these objectives.

Position Duties/Responsibilities:

This position is responsible for, but not limited to the following:

  1. Initiate personnel actions including selection, professional development, and performance management in the Service and Operations Department
  2. Formulate annual department business plan ensuring alignment and support of organizational strategy and objectives.  Oversee implementation of business plan and monitor results
  3. Manage the overall operational, budgetary, and financial responsibilities and activities of the department
  4. Effectively structure department jobs and processes to ensure efficient, effective, and high quality operations
  5. Participate in strategic meetings, committees, and discussions to ensure all legal and compliance rules and regulations are met in the operations division
  6. Ensure all standard operating procedures are accurate and up-to-date
  7. Develop and maintain external procedures manual
  8. Work closely with Information Services to enhance current systems and create and implement new technologies to improve operations’ processes
  9. Actively promote strong working relationships with advisors to build confidence and trust in SAI services
  10. Work closely with National Financial and Pershing clearing firms to ensure resolution of all operational issues
  11. Communicate key operational measures and statistics to senior management
  12. Perform other duties as assigned

Position Requirements:

  • Bachelor’s degree in business related field or equivalent professional experience
  • 5+ years prior management experience
  • 8 years of Securities Industry experience
  • Series 7, 24  and 66 industry licenses required
  • Knowledge of SAI, SAA, APA, SEC, and FINRA rules and regulations
  • Knowledge of supervisory techniques to accomplish instruction, motivation, and training of personnel
  • Knowledge of SAI technology platforms/systems preferred
  • Skill in effective project leadership, training, and group facilitation
  • Skill in operating various office equipment including personal computer and various software packages (Microsoft Word, Excel, Outlook, PowerPoint, Access, and Visio)
  • Ability to be at work on a regular and predictable basis
  • Ability to work cooperatively, provide leadership, and build consensus among managers and employees
  • Ability to plan and implement organizational and department goals
  • Ability to create and deliver training presentations
  • 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 order to meet deadlines
  • Ability to review and revise processes and procedures


Job Details

Date Posted December 28, 2018
Date Closes January 27, 2019
Located In La Vista, NE
Job Type Full-time Employee
Compensation Salary, Varies, Based on Experience
Experience Level Intermediate (3-7 yrs. experience)
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
Positions Available 2
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

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases
At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...