Capital Access Operations Supervisor I Southfield, MI

Responsibilities

• Supervise a team of 10-12 associates who provide support to clients and advisors via phone, email and eventually chat.
• Lead a team supporting Capital Access operations, ensuring accurate and timely processing of client/branch requests and onboarding activities.
• Utilize knowledge of banking and brokerage operations to support operational effectiveness and mitigate risk.
• Interact with contracted vendors (Fiserv, UMB Bank, Deluxe, Visa) who help deliver the Capital Access cash management products and services provided to clients.
• Contribute to the development of annual and longer-term business plans; forecast performance against key business performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets.
• Manage and report on team performance; set appropriate performance objectives for direct reports or project/account team members and hold people accountable for achieving them, taking appropriate corrective action where necessary to ensure the achievement of team/personal objectives.
• Develop associates in their careers via annual development plans, monthly 1-on-1 meetings and performance coaching as needed.
• Identify shortcomings in existing processes, systems, and procedures, and use established change management programs to address them.
• Work within established procedures to achieve specified goals.
• Ensure operational activities align with applicable FINRA, SEC, and internal compliance requirements related to Capital Access operations.
• Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.

Requirements

• Prior supervisory or team leadership experience within brokerage or banking operations.
• Strong understanding of operational risk, account controls, client onboarding, suitability considerations, and regulatory requirements associated with investment account processing.
• Ability to partner effectively with advisors, compliance, risk, and operational stakeholders in a highly regulated financial services environment.
• Knowledge of cash management operations (checking, ACH, Bill Pay, Visa debit card).

Skills

• Strong leadership, organizational, and team development skills with the ability to prioritize and oversee operational activities to meet business objectives.
• Ability to interpret and apply FINRA, SEC, and internal regulatory policies and procedures within a highly regulated financial services environment.
• Strong analytical and problem-solving skills with the ability to identify operational risks, process gaps, and opportunities for improvement.
• Effective verbal and written communication skills with the ability to provide guidance, coaching, and technical direction to team members and business partners.
• Experience analyzing operational data and performance metrics to support reporting and business decision-making.
• Able to manage competing priorities, adapt to changing business needs, and drive operational efficiency in a fast-paced environment.
• Strong customer service mindset with the ability to support advisors, internal partners, and clients effectively.
• Experience managing projects, workflows, and process improvement initiatives within established timelines and quality standards.

Qualifications

• Bachelor’s: Accounting, Bachelor’s: Business Administration, Bachelor’s: Finance, High School (HS)

Benefits

• Medical, dental, and vision insurance
• Life insurance and critical illness insurance
• Accident insurance
• Disability benefits
• Retirement savings
• Paid time off (including vacation, holidays, and sick leave)
• Parental leave