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Operations Processing Manager (Maintenance)

Advisor Group locationLa Vista, NE
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49 positions
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49 positions
info linkReport a probelm Originally Posted : October 09, 2021 | Expires : November 8, 2021

Details

Salary
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Job Location
La vista, NE, United States

Description

Brokerage Operations Leadership Opportunity in Financial Services

Operations Processing Manager (Maintenance Team)


Location(s): 12325 Port Grace Blvd, La Vista, NE 68128

Role Type: Full-time

Summary:

The Operations Manager is responsible for all aspects of production, service, and quality for the maintenance team. This role is also responsible for coaching, development, and performance management of the maintenance team.

Responsibilities:

  • Coach and mentor staff, including providing employees with development opportunities
  • Oversee team personnel activities
  • Conduct regular and individual team meetings, coach performance and identify opportunities for proactive improvements
  • Resolve complex escalations, make decisions, and ensure prompt follow-up when needed
  • Ensure all standard operating procedures are accurate and up to date
  • Communicate any process or policy changes with team members
  • Prepare reports and proposals for leadership regarding quality, efficiency and service resolutions and enhancements
  • Assist in the development of business continuity and risk management procedures
  • Participate in special audits and special projects, including system testing and releases
  • Act as team liaison to other teams, departments, quality groups, enterprise project committees, and transition teams
  • Maintain current knowledge of operational procedures and policies by coordinating with other departments
  • Enforce department budget and ensure cooperation occurs within budget guidelines
  • This role requires someone who is self-motivated and can motivate others. This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately. This role requires the ability to identify when action is necessary to ensure adherence to policies and procedures and to meet goals

Education Requirements:

  • Bachelor's degree in business related field or equivalent professional experience preferred. Minimum of HS diploma or GED required.

Basic Requirements:

  • 3+ years prior supervisory or team lead experience
  • FINRA Series 7 and 99 licenses required
  • Knowledge of SEC and FINRA rules and regulations
  • 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.
  • Knowledge of supervisory techniques to accomplish instruction, motivation, and training of personnel
  • Knowledge of internal technology platforms/systems preferred, along with knowledge of NFS and Pershing Clearing firm platforms and DST
  • 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 build consensus and support for ideas and initiatives
  • Ability to collect and analyze data, evaluate information and systems and draw logical conclusions
  • Ability to develop efficient and effective operating procedures and practices
  • 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
  • Ability to review work for accuracy

Preferred Requirements:

  • 4+ years of Securities Industry experience preferred
  • FINRA Series 24 preferred

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