Operations Manager

About the Company

We foster a collaborative, client-first environment and are seeking an organized, driven individual to manage the operational aspects of our growing practice.

About the Role

Operations Business Manager is primarily responsible for overseeing the administrative, operational, and financial efficiency of the firm. This position ensures the smooth day-to-day running of the business, tracks progress against the firm's strategic goals, and supports the Financial Advisors in delivering a high-quality client experience. The ideal candidate is proactive, highly organized, and has a strong understanding of business finance and practice management, preferably within a regulated financial services environment.

Responsibilities on Investments

• Operation Manager is responsible for onboarding and supporting representatives that are selling investments.
• Provide office, data entry and service administrative support for the office operations by following acceptable procedures. Specific responsibilities include but will not be limited to:

Investment NMIS

• File and log appropriate correspondence and forms.
• Maintain supplies of prospectuses, and sales material.
• Maintain complaint file.
• Distribute processed trades and mutual fund statements to registered representatives.
• Handle incoming calls to answer client requests for current account information only or direct calls to appropriate personnel.

DATA ADMINISTRATION

• Processes account maintenance requests.
• Review and process commission reports.
• Review branch production reports.
• Maintain daily bank deposits, check and order logs for Agency Supervisory review/approval.
• Process service requests including funds disbursements, account transfers.
• Process trade correction requests per approval from Agency Supervisor/Invest. Operations Manager.

SERVICE SUPPORT

• Act as Liaison for FR NMIS needs, client service access, mutual fund access, and troubleshoot paperwork that is lost or processed incorrectly.

Qualifications

• It is recommended that the Network Office Investment Operations Assistant have the following qualifications:
• Preferred: Series 6 and Series 63 or Series 7 and Series 63
• One to three years of securities industry experience preferred.
• Degree in finance preferred.
• Demonstrated computer experience required. Minimum 40-50 wpm

Required Skills

• Strong organizational and time management skills with ability to set priorities and meet deadlines
• Ability to work with a high degree of accuracy in handling detailed work
• Excellent communication skills (verbal and written) with the ability to collaborate effectively with others
• Above average math and data entry skills
• Ability to multi-task and prioritize
• Ability to adapt to change, and identify process improvements