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Head of Operations and Service
"The Head of Operations & Service will anticipate future needs based on business line strategies, external markets, and internal opportunities. As a critical leader for the department, the individual will be charged with developing complete strategies and be responsible for executing the overall portfolio of projects necessary for change. This includes evaluating available products with key business partners (Fund Advisory, Separately Managed Accounts, Unified Managed Accounts, Representative Directed) or services/technologies that are designed to support a scalable operation and a differentiated customer experience (eSignature, eDelivery, margin, CRM). This position requires the leader to think both tactically and strategically.
Strategic: Ensure best in class service by establishing and attaining key metrics and performance goals. Lead and drive key initiatives to enhance the customer experience. Lead the development and implementation of an eSignature solution for managed account business. Work closely with key business partners to develop our internal support systems including but not limited to Imaging and Workflow systems, Trading Tools, Call Center Technology, and CRM. Collaborate with the Quality Assurance Team to refine the existing process. Review potential disruptive business models & technology to determine if strategies can leverage new innovative solutions within the evolving framework. Partner with Compliance and Legal to review and develop policies and procedures while taking into account the changing regulatory environment. Work closely with leaders of HR to foster a framework that facilitates natural career transitions and the flow of talent into and out of the team.
Tactical: Oversee call center, service delivery and service quality by defining measures over a number of dimensions. Responsible for servicing the agency IAR field force and customers. Ensure staff meets quality and adherence guidelines, ensure trading errors are minimized, and provide training and mentoring support. To supervise, acting as a Client Registered Principal, the daily service activity of the RIA, Operation Processing and Service areas. Work closely with the Team's line Manager to address short term and long-term staffing levels. Identify needs for training and staffing in order to meet service level and processing goals. Lead key aspects of Investment Advisory service including Investor Relations, training and quality. Ensure staff meets quality/adherence guidelines, and operational errors are minimized. Promote best in class service by establishing and attaining key metrics and performance goals. Manage critical vendor relationships with Custodian and Clearing Firm, National Financial, and Managed Account Technology providers, Envestnet.
• Bachelor's Degree or Equivalent Work Experience
• Minimum of 7+ years of relevant experience
• Series 7 & 24 (required)
• Series 66 within 12 months of hire date
• Proficiency with Microsoft Office.
• Advanced knowledge of Microsoft Excel including vlookups and pivot tables
• Strong customer service skills
• Outstanding written communication skills
• In depth knowledge of industry rules and regulations
• Advanced knowledge of Mutual Funds, ETFs, Brokerage Accounts, & the Managed Account Industry is necessary.
• Deep understanding of a Broker Dealer's and RIA's operations.
• Must set direction and have clear understanding of overall department service vision to enhance the brand by making every service experience a positive one.
• Must possess a strong understanding of Client & SEC regulations to ensure best practice within written supervisory procedures.
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