Securities Operations Manager

About the role

The Operations Manager reports to both the 401(k) Service Advisor & the SVP, Retirement Practice Leader and provides operational management & support to the firm’s 401(k) & individual wealth management clients. This position consults directly with clients to address their financial needs & deliver customized solutions & support.

Responsibilities

• schedule all client meetings with 401k & wealth management clients
• execute all wealth management trades, check requests, gather financial planning info & data entry
• coordinate all new account paperwork for 401k & wealth management clients
• coordinate all 401k fund change paperwork and employee notices between vendors & clients
• assemble requisite paperwork, account reviews, report generation and meeting documentation
• assist with individual employee participant proposals as needed
• coordinate employee education sessions with 401k participants (either with Recordkeeper or internally presented by HUB)
• maintain all client emails & communications
• maintain all client data internally
• coordinate all client data and plans in financial planning software, eMoney
• identify sales and asset retention opportunities; including viable alternatives when traditional solutions may not apply
• additional duties as may be requested
• manage all data entry into Morningstar & assist the Practice leader in assessment of prospect client’s existing portfolios

Requirements

• Strong understanding of financial services industry and diverse investment products
• Basic computer skills (Outlook, Word, Excel and Power Point) are essential
• Excellent communication skills, both verbally and in writing
• Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
• Ability to build relationships with clients and internal partners and influence others without direct control

Skills and/or Abilities

• Strong understanding of financial services industry and diverse investment products
• Basic computer skills (Outlook, Word, Excel and Power Point) are essential
• Excellent communication skills, both verbally and in writing
• Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
• Ability to build relationships with clients and internal partners and influence others without direct control

Qualifications

• Bachelor’s degree in finance, accounting or related field
• The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Previous experience in the independent financial services culture preferred

Skills

• Applicable FINRA licenses preferred (Series 7, 6, 65, 66 or 63)

Department Account Management & Service

Required Experience: 2-5 years of relevant experience

Education

Required Education: Bachelor's degree (4-year degree)