Regional Operations Manager (Dallas,TX)

Responsibilities

• All money movement, fund disbursement and/or fund receipt activity, in accordance with FINRA rules
• All order processing, including cancelations, corrections and other critical order-related workflow, including client service inquiries and resolutions
• Account opening
• Supervisory engagement with local resources (i.e. Branch Control Officer) to fulfill supervisory requirements
• Train and lead operational support staff
• Absorb and act upon feedback from clients and branch managers
• Absorb and act upon feedback from internal partners
• Provide any special support as requested by Branch Manager

Qualifications

• At least 5+ years of brokerage/financial services experience along with management experience
• FINRA Registrations: Series 7, 63/65 or 66 and 8 or 9 & 10 required
• Strong attention to detail and accuracy
• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• Excellent verbal, written, and interpersonal communication skills
• Effective organizational, multi-tasking, and prioritizing skills
• Able to work independently, proactively and innovatively while exercising sound judgment
• Intelligent, enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members
• High ethical standards
• Excellent time management conflict resolution skills
• Strong working knowledge of Microsoft Office Suite