JOB DESCRIPTION: The Operations Manager is responsible for managing the back-office operations of a broker dealer, advisory firm, and insurance agency. Reporting to the Chief Operations Officer, this position's primary responsibility is ensuring the development, continued refinement, implementation and effectiveness of organizational strategies, systems, policies, and practices.

Roles and Responsibilities:

• Continually evaluate and improve the operational systems, processes, and infrastructure in support of the firm’s organizational missions, while providing support for operations team members, management and regulatory reporting, information flow, business processes and proactive organizational planning.
• Anticipate operational and tactical risks, tracking them using appropriate methodology. Generate and recommend alternative approaches and business/operations elements of solutions to meet needs of project.
• Project management, business analysis, vendor management, and risk management responsibilities. This position interacts with various business lines and the functional units within the firm, providing process and service support to internal and external customers. The individual in this position is expected to be industry leader and positive liaison for both Operations and the entire organization.
• Manage scope and implement change control processes for projects under their control.
• Oversee monthly, quarterly, and annual metrics, reporting and forecasts of firm’s core operational systems toward managing the firm’s dynamic growth with the COO. Identify trends and assess opportunities to improve processes and execution.
• Play a significant role in long-term planning, including initiatives geared toward operational excellence. Regular meetings with COO for planning and execution of these initiatives.
• Collaboration with other back-office team members such as sales supervision, brokerage operations, technology, and accounting team members to ensure seamless business execution and reinforce a positive morale and internal culture.
• Keep abreast of industry regulations, trends, and technologies.
• Manage/lead team Operations Support and Advisory Support Specialist team members in all areas of Operations, including New Business processing, Maintenance items, Transitions, Systems, Letters and more as needed.
• Oversee updating of new business and transitions forms, checklists, procedures, documentation and best practices, collaboration with the transitions and onboarding teams weekly.
• Implementation of regulatory-based best practices in concert with the COO and CCO. Work closely with the management team to ensure that all operational, administrative, and compliance functions within the firm are being properly executed.
• Other duties and responsibilities as assigned.

Abilities Required:

• Work independently in, and adapt to, a fast paced/high volume, dynamic work environment.
• Extreme technology proficiency and readiness, having a short learning curve to adoption of technology systems/processes.
• Excellent people manager, open to direction/feedback, collaborative work style and dedication to get the job done.
• Service oriented nature and commitment to excellence.
• Understanding of FINRA, SEC and State rules and regulations
• Use strategic problem-solving skills to recommend, and execute upon, continual improvements to firm wide systems.
• Must be organized and process oriented.
• Pivot, with strong attention to detail and follow-up skills.
• Excellent oral and written communication skills; excellent human relations skills
• Collaborate well with overall operations and entire organization.
• Use resources made available to make improvements and manage operations effectively.
• Proactively anticipate firm needs; ability to escalate and resolve issues.
• Solid work ethic and proven professionalism

• Look at situations from several points of view.

Minimum Requirements:

• Ideal candidate holds a current FINRA series 24 license with willingness to obtain 66.
• Must have experience in the financial industry, whether broker dealer or advisory based.
• Must be proficient in the Microsoft Office Suite of products, including Word, PowerPoint and Outlook. Advanced knowledge of Excel, utilizing VLOOKUP, other formulas and Pivot tables is preferred.
• Experience with automated operations, compliance, and document workflow systems, such as Redtail, Albridge, and Books and Records technologies, and/or history with other related web-based technology systems.