Manager, Brokerage Operations

About the role

The Operations Manager is responsible for overseeing the Brokerage Operations department, ensuring that it meets productivity and quality standards, and driving business growth through effective client and advisor engagement.

Responsibilities

• Manage team resources and ensure team performance conforms to regulatory requirements and meets department productivity and quality standards.
• Collaborate with management staff to set priorities, monitor activity, and ensure completion of work.
• Perform regular reviews of teamwork practices to ensure quality and compliance with internal and regulatory standards.
• Critically think beyond day-to-day operations and analyze a variety of factors and metrics when making decisions for the department.
• Take ownership on escalated issues and exception management and delegate as appropriate to drive resolution.
• Identify, develop, and implement training opportunities/strategies using experience as well as corporate and divisional resources.
• Direct, coach, and mentor the professional growth and success of associates.
• Successfully manage a pay for performance model that recognizes and rewards the achievement of individual, team, department, and corporate goals.
• Maintain, design, and implement process control procedures and department procedures and user guides where necessary to ensure timely processing and mitigate risk.
• Research/recommend solutions on issues within the department.
• Focus on identifying, developing, and implementing opportunities to improve and/or streamline the client/advisor experience.
• Perform in a supportive role in maintaining relationships with business partners.
• Represent the department in corporate strategic initiatives as a key stakeholder.

Qualifications

• Bachelor’s degree in finance, economics, business administration, or related area or equivalent combination of education and experience preferred.
• 5 plus years of experience in the financial services industry.
• 2-3 years coaching, supervising, and managing a small to mid-size team.
• Familiar with a variety of Financial/Brokerage industry concepts, practices, and procedures.
• Series 7 (Required)
• Series 24 required (must obtain within 120 days of employment)
• Series 63 may be required depending on daily responsibilities.

Skills

• Strong oral, written and organizational skills.
• Proficient use of Microsoft Office Suite.
• Problem-solving skills with the ability to analyze trends and identify and communicate problems or concerns.
• Demonstrate confidence, skill, and professionalism needed to resolve critical issues in a manner that strengthens the client relationship and mitigates risk for the firm.
• Knowledge of Agile and /or Lean methodology.
• Executes with a sense of urgency, a drive to make an impact, and a high level of self-confidence.
• Must be able to work well in high pressure situations and elevate workloads.
• Desire and ability to actively and positively contribute within a highly collaborative team setting.
• Curiosity and demonstrated ability to acquire new skills, knowledge, and abilities.
• Willingness to remain responsive and flexible in a dynamic environment and support team’s deliverables.
• Ability to engage partners internally and externally in a professional and productive manner to maintain a high level of performance and service.
• Influence by remaining positive in all circumstances.
• Adapt quickly to changes.
• Have a passion for improving the client/advisor experience.
• Desire to work in a self-organized team environment, celebrating success and taking accountability for goals and commitments.
• Deny mediocrity and possess high personal standards.

Benefits

First Command Financial Services, Inc. and its related entities are not affiliated with, authorized to sell or represent on behalf of or otherwise endorsed by any federal employee benefit program, the U.S. government, the U.S. Armed Forces or any other third-party mentioned on this site.

Pay

Compensation is competitive and commensurate with experience.

Schedule

This position offers a hybrid schedule.