Manager, Ops Processing

Operations Manager Opportunity in Financial Services

Manager, Ops Processing

Location(s):   

2300 Windy Ridge Parkway, Atlanta, GA 30339
877 Executive Center Drive West, St. Petersburg, FL 33702
7755 Third Street North, Oakdale, MN 55128
12325 Port Grace Boulevard, La Vista, NE 68128
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office.

Role Type:     Full time

Salary:         $70,000 - $78,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.

Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.  To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits         

Summary:

The Operations Manager is responsible for all aspects of production and service delivery for assigned Operational Team(s).  Our ideal candidate ensures the quality and timeliness in service delivery.  The manager will be responsible for supporting the processors and answering related questions 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 and retirement accounts. You will be required to establish a rapport with the top financial professionals in the financial industry within the Osaic family.  The Operations Manager is also responsible for development and performance management of all team personnel.

Responsibilities:

• Directly manage 10-15 employees within the Operations Department.

• Carry out managerial duties in accordance with the organization’s policies and applicable laws.

• Responsible for the daily oversight of team personnel, workflow, processing procedures and problem resolution.

• Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met.

• Continually seek out and implement efficiencies and service/process enhancements.  Actively analyses problems, determines casual factors and implements corrective actions.  Exercise strong problem solving and decision-making skills.

• Resolve complex escalations, make decisions and ensure prompt follow-up when needed

• Act as technical SME to employees cross-functionally

• Perform deep dives to improve customer experience and to educate associates

• Work on audit requests and provide requested reports, documentation and samples to the requestor(s) by audit deadlines

• Ensure all desktop procedures are accurate and up-to-date

• Determine and manage staffing levels for the team; select candidates for open positions, conduct interviews and work with the Operations leader to extend employment offers to highly qualified individuals.

• Manage cross-organizational projects and demonstrate negotiating skills.  Must be able to build effective business relationships with internal departments, financial advisors, and external service providers.

• Accountable for staff and team development by providing the tools and training needed to achieve success.  Provide career planning, goal setting, and coaching support to team members.

• Provide performance feedback for performance reviews and assist with establishing meaningful and relevant performance objectives.

• Enforce department budget and ensure cooperation occurs within budget guidelines.  Work with Operations leader to identify budget line items and plan for the budget year.

• 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 (B. A.) from an accredited university or equivalent industry related experience preferred; Minimum of HS diploma or GED required.

Basic Requirements:

• 4+ years of industry experience inclusive of two years as a supervisor/team lead; and/or equivalent combination of education and experience.

• Must already be proficient in the following: Microsoft Excel, Word, Power Point, Outlook and Internet Explorer.

• Must be proficient with the following systems: NetX360, Wealthscape, Front-End Imaging (FEI), Salesforce (contact management and imaging workflow systems), Client Central, DST Vision, Albridge and back-office functions.

• 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.

• Must be team-oriented and client-focused

Preferred Requirements:

• FINRA Series 7 preferred