Job Number:

3252132

DESCRIPTION

Oversee and manage service transaction approvals and processes (e.g., trade supervision, money movement, document handling, cashiering, trading and account maintenance) and ensuring reporting, logs and files are maintained and actioned appropriately

Oversee document handling by conducting quality assurance reviews on execution within operations area as well as the entire branch
Lead select operational remediations within the team and ensure corrective action is taken before deadlines
Ensure appropriate coverage across all branches assigned which may include travel to assigned branches (e.g., both within operations areas as well as offices with reception areas)
Facilitate and manage resolution of client inquiries/requests
Oversee various administrative efforts in the branch
Ensure compliance with Firm policies and procedures by overseeing the execution of regular self-audit testing and partnering with the Complex Risk Officers on branch exams and corrective action plan implementation relating to the service organization
Participate in national calls to learn about new platform changes, policy and procedure updates, share best practices and learn about other timely updates
Identify and implement process improvements to ensure teams are maximizing productivity and driving efficiencies
Administer other duties as delegated by the Complex Business Service Officer

Lead the Branch in executing the organization’s strategic priorities by influencing and coaching behavioral change with a focus on consistency, quality, and compliance with Firm policies and procedures

Lead, mentor, and supervise a team of Service Associates & Receptionists, including conducting one-on-one meetings for coaching opportunities, career goal setting, job related activities, firm opportunities, and team building with direct reports
Maintain strong relationships with key partners within the Branch, Complex, Region and Home Office including participation in team meetings, regional and national calls
Manage and oversee Service Associates & Receptionists responsible for operations within the branch
Promote a branch culture that’s consistent with the Firm’s core values, including championing diversity and inclusion

QUALIFICATIONS

Four-year college degree required or equivalent education

Previous industry experience
Active Series 7 (GS), Series 9 and Series 10 (SU), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
Other licenses as required for the role or by management