DescriptionHybrid Work Environment: 40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office.Job SummaryProvides direction, leadership and support for assigned department in Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency and drive productivity and quality within their area. Individuals at this level should have a broad understanding of the different areas of Operations. Contact with internal and external customers will be required to identify, research, analyze and resolve issues. Monitors productivity and service levels using the various reports available. Strong people leader to provide coaching, development and performance management.Essential Duties and Responsibilities
Partners with cross site peers and managers to establishes performance goals for department; collaborates with and directs associates to meet or exceed these goals
Acts as an information source for associates and ensures training and development occurs
Plans, assigns, monitors, reviews, evaluates and leads the work of associates
Oversees team morale and plans for appropriate team building activities and rewards and recognition
Handles performance management including career development and progressive discipline of direct reports
Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover
Works in cooperation with peers on establishing objectives and developing processes and procedures to ensure efficient and timely work flow with special regards to service delivery, compliance and risk factors for the firm.
Establishes internal or external partnership opportunities, through analysis of business needs and relationships that may enhance success
Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc)
Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapt
Takes decisive action when necessary and conveys a sense of urgency to deliver results
Interprets and applies organizational policies and procedures
Effectively collaborates with other supervisors in the same or different functional groups to accomplish assigned goals and process/policy changes; oftentimes this collaboration occurs across multiple sites
Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessary
Effectively implements system changes and identifies and manages impacts to team and advisors
QualificationsKnowledge, Skills, and AbilitiesKnowledge of
Investment concepts, practices and procedures used in the securities industry
Financial markets and products
Skill in
Interpreting and applying policies and procedures
Establishing operational objectives
Implementing processes and procedures for efficient and timely work flow
Promoting effective coordination between work groups
Preparing operational budgets
Ability to
Learn the concepts, principles and practices of assigned functional area
Plan, assign, monitor, review, evaluate and supervise the work of others
Coach and mentor others
Identify training needs and develop subordinates
Balance conflicting resource and priority demands
Partner with other functional areas to accomplish objectives
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
Incorporate needs, wants and goals from different business unit perspectives into operational processes
Communicate effectively, both orally and in writing
Work independently as well as collaboratively within a team environment
Lead others in providing a high level of customer service
Establish and maintain effective working relationships at all levels of the organization
Educational/Previous Experience RequirementsEducation/Previous Experience
Bachelor's degree in a related field or an equivalent combination of education and work experience.
Three (3) or more years’ experience in financial services / operations including one (1) year as team lead or leadership experience in a financial or service organization.
Licenses/Certifications
SIE required provided that an exemption or grandfathering cannot be applied.
Series 99 , or ability to obtain within 120 days (as required by FINRA) required . Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.
Job: OperationsPrimary Location: US-FL-St. Petersburg-Saint PetersburgOther Locations: US-TN-Memphis-MemphisOrganization Operations & AdministrationSchedule Full-timeJob Shift Day JobTravel Yes, 10 % of the TimeReq ID: 2401522