Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.
The Supervisory Operations Manager is responsible for the oversight of all client activities within the Complex (group of branches). The Supervisory Operations Manager will work closely with the Compliance, Legal and Operations departments. Additionally, this individual will coordinate any compliance, legal and operational matters involving the Complex with Home Office, Compliance, Legal and other staff in the firm.
What are you good at
- Review and approve new account forms, client letters of authorization, all sales correspondence - both written and electronic.
- Review daily sales transaction, daily blotter and all daily exception reports for the entire Complex. The Supervisory Operations Manager will work closely with the Complex Manager and will apprise the Complex Manager daily of any problems or any items requiring the direct involvement of the Complex Manager.
- The Supervisory Operations Manager will work closely with the Compliance department staff to insure that the Complex is in compliance with all firm policies, and industry rules and regulations. The Supervisory Operations Manager will also coordinate all Complex audits with the Compliance department and is actively involved in implementing any corrective steps if they are needed.
- Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems.
- Conduct regular staff meetings as a forum for training on new policies and procedures, and any new FINRA, state rules or regulations.
- Will assist the Complex Manager in screening new Financial Advisor candidates and may be involved in the on-boarding of new Financial Advisors.
What you have
Requirements:
- High School diploma; Bachelor’s Degree preferred
- Series 7, 9 and 10, 63, 65 and/or 66
- Excellent customer service skills
- Computer skills in Word, Excel, PowerPoint and Outlook
- Able to work effectively in a fast paced, deadline oriented environment
- Strong attention to detail
- Able to work effectively as part of a team
- Some travel may be required
- High ethical standards
Why work for us?
Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus, Employee Ownership, and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future. Explore further.
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. Fostering a positive workplace experience remains a top priority. People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.
Janney is an equal opportunity employer and makes employment decisions on the basis of merit and business needs.
Skills Required
- High school diploma
- Bachelor's degree
- Series 7 license
- Series 9 license
- Series 10 license
- Series 63, 65, and/or 66 license
- Excellent customer service skills
- Computer proficiency with Word, Excel, PowerPoint, and Outlook
- Ability to work effectively in a fast-paced, deadline-oriented environment
- Strong attention to detail
- Ability to work effectively as part of a team
- High ethical standards
Janney Montgomery Scott LLC Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Janney Montgomery Scott LLC and has not been reviewed or approved by Janney Montgomery Scott LLC.
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Retirement Support — A 401(k) with company match plus profit sharing is part of the package, with indications of a match improvement in 2026. Profit sharing is highlighted as a meaningful component of total rewards for eligible employees.
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Equity Value & Accessibility — An employee ownership program is available to eligible employees and has been emphasized following the change in ownership. Broad‑based equity plans are positioned as a potential long‑term value add.
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Parental & Family Support — Paid parental leave for primary and secondary caregivers, along with adoption and fertility assistance, signals robust family support. Additional resources such as pregnancy/postpartum and midlife support extend the coverage.
Janney Montgomery Scott LLC Insights
What We Do
Janney Montgomery Scott LLC is a leading financial services firm dedicated to putting client needs first. We are committed to providing the best in financial and investment advice to help our clients toward their personal or business goals. We focus on building strong client relationships, supported by a foundation of trust and performance. Janney provides advice to individual, corporate and institutional clients. Our expertise includes guidance about asset management, corporate and public finance, equity and fixed income investing, equity research, institutional equity and fixed income sales and trading, investment strategy, financial planning, mergers and acquisitions, public and private capital raising, portfolio management, retirement and income planning, and wealth management. Janney is an independently-operated subsidiary of The Penn Mutual Life Insurance Company and is a member of the Financial Industry Regulatory Authority (FINRA) and Securities Investor Protection Corporation (SIPC). Janney is dedicated to providing financial industry professionals the opportunity to achieve their personal best. We foster a professional, respectful and team-oriented environment where employees can use their talents to thrive and grow with the firm. Our culture rewards both individual and team success and is the driving force behind our strong, long-lasting client relationships.
