Manager, Operations – New Accounts (Financial Services))

Job Description

This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month.

In addition to the responsibilities outlined below, this role will provide leadership and oversight for a team of cross-site Supervisors responsible for delivering consistent, high-quality service across core operational functions. The Operations Manager will directly support multiple supervisors whose teams manage account opening and maintenance activities, assisting advisors and clients via both phone and email channels. This role is accountable for ensuring consistent execution of processes and service standards across locations, driving alignment in performance expectations, workflows, and client experience. The Operations Manager will monitor key performance indicators related to service levels, quality, accuracy, and timeliness, and will partner with Supervisors to identify trends, address gaps, and implement improvements.

The Operations Manager will play a critical role in coaching and developing Supervisors, ensuring they are equipped to effectively lead their teams, manage performance, and foster a culture of accountability and continuous improvement. This includes reinforcing best practices in service delivery, escalation management, and operational execution. Additionally, this role will collaborate closely with peer leaders, including Directors and other Managers within the department, to support broader operational strategies and initiatives. The Operations Manager will help drive consistency across functions, contribute to process improvement efforts, and ensure that frontline insights are incorporated into decision-making.

Success in this role requires the ability to lead through others, manage across multiple sites, and balance day-to-day operational oversight with a focus on enhancing service quality, efficiency, and the overall advisor and client experience.

Responsibilities:

• Oversee an operational area with guidance from senior colleagues. Could involve responsibility for development or delivery (or both).
• Manage day-to-day service operations, developing and/or delivering a plan and outcomes for a service operations area with guidance from senior colleagues.
• Develop and/or deliver a plan for significant aspects of internal communications with guidance from senior colleagues.
• Communicate the actions needed to implement the function's strategy and business plan within the team; explain the relationship to the broader organization's mission, vision, and values; motivate people to commit to these and to do extraordinary things to achieve local business goals.
• Manage and report on the performance of a substantial, diverse team; set appropriate performance objectives for direct reports or project/account team members and hold individuals accountable for achieving them; take appropriate corrective action where necessary to ensure the achievement of team/personal objectives.
• SkillsWorks at an advanced level to express ideas, request actions, formulate plans, & policies by means of clear and effective verbal communications. Typically works independently and provides guidance.
• Operates as a recognized expert to deliver required services to clients to the required standards. Typically known as a subject matter authority.
• Works at an advanced level to orient work in a workflow to plan, organize, and execute the steps it takes to achieve higher efficiencies. Typically works independently and provides guidance.
• Works at an advanced level to review and evaluate recommendations and requirements and to develop appropriate plans or deliver actions required. Typically works independently and provides guidance.

Licenses/Certifications:

SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied.

Series 99 required, or ability to obtain within 120 days (as required by FINRA). 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.

Education

High School (HS) (Required)

Work Experience

General Experience - 6 to 10 years, Manager Experience - 3 to 6 years