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Director Operations Processing

Advisor Group locationOakdale, MN
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40 positions
40 positions
info linkReport a probelm Originally Posted : September 09, 2021 | Expires : October 9, 2021


Job Location
Oakdale, MN, United States


Customer Experience Leadership Opportunity in Financial Services

Director Operations Processing

Location(s): 7755 3rd Street North, Oakdale, MN 55128 preferred, open to all hub locations


This position is responsible for all aspects of production and service delivery for the Premier Support Advisors assigned Operational department(s). As a Premier Support Director, you will be responsible for supporting the processing Specialists and our top producing financial professionals by answering inbound calls related to brokerage operation processes, and explaining policies and procedures set forth by the broker dealer. Topics of requests may include, account establishment and maintenance, advisory business, cash management, transfers, margin, and retirement accounts. You will be required to establish a rapport with the top financial professionals within the Advisor Group family.

Job Responsibilities:

  • Monitor and supervise department personnel, workflow, processing procedures, and problem resolution
  • Monitors turn-around times and accuracy of the processing for New Account, Transfers, Cashiering, and Margin requests. Follows-up with staff on routine workloads/deliverables as well as special projects
  • Ensure service levels are met by helping with processing and answering calls during heavy volume periods
  • Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met
  • Conduct quality assurance reviews to ensure associates are following firm rules to manage risk
  • Collaborate with SVP and AVP to create and implement processes and procedures to increase efficiency and productivity, and to ensure quality control and the management of risk
  • Seek out efficiencies and service/process improvements. Actively analyze problems, determine causal factors, and assist with implementing corrective actions. Exercise strong problem solving and decision-making skills
  • Assist with cross-organizational projects and demonstrate negotiating skills. Must be able to build effective business relationships with internal departments, financial advisors, and external service providers
  • Assist with team development by providing the tools and training needed to achieve success. Provide coaching support to team members
  • Provide performance feedback for performance reviews and assist with establishing meaningful and relevant performance objectives
  • Work with SVP, AVP, and counterparts and offer ideas to improve our product and enhance the client experience
  • Act as technical SME to employees cross-functionally
  • Assist Team Members with research on difficult questions or escalated issues
  • Periodically review work of all team members to ensure quality and accuracy
  • Ensure team meet very high standards for customer service, accuracy, and communication skills.
  • Share company information quickly and accurately
  • Perform deep dives to improve customer experience and to educate associates
  • Review Service Centers, Cases, and Rejects daily to control backlogs
  • Generate routine and ad-hoc reports for management
  • Perform additional duties as assigned by leadership
  • All other duties as assigned

Education Requirements:

  • Bachelor's Degree from an accredited university is required

Basic Requirements:

  • 5+ years industry experience inclusive of two years as a supervisor and/or training
  • Excellent communication and interpersonal skills; self-motivated and can motivate
  • Ability to work well cross-departmentally to ensure client expectations are met
  • Knowledge of the securities industry and retirement plan industry
  • Knowledge of New Accounts, Margin, ACAT, NON-ACAT, Mutual Fund, and DTC/DRS transfers
  • Knowledge of legal documents and the ability to interpret documents required to open a brokerage account and process an advisor's request
  • Ability to organize, prioritize and re-prioritize, adapt in a changing environment, and handle multiple projects simultaneously
  • Computer proficiency in Microsoft Office (Excel, Word, Power Point, and Outlook)
  • Ability to create pivot tables and utilize VLOOKUP in Excel

Preferred Requirements:

  • Series 7 and 24 a plus

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