Supervisory Operations Manager

About the role

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The Supervisory Operations Manager is responsible for the oversight of all client activities within the Complex (group of branches). The Supervisory Operations Manager will work closely with the Compliance, Legal and Operations departments. Additionally, this individual will coordinate any compliance, legal and operational matters involving the Complex with Home Office, Compliance, Legal and other staff in the firm.

Responsibilities

• Review and approve new account forms, client letters of authorization, all sales correspondence – both written and electronic.
• Review daily sales transaction, daily blotter and all daily exception reports for the entire Complex.
• Work closely with the Complex Manager and apprise the Complex Manager daily of any problems or any items requiring the direct involvement of the Complex Manager.
• Work closely with the Compliance department staff to ensure that the Complex is in compliance with all firm policies, and industry rules and regulations.
• Coordinate all Complex audits with the Compliance department and is actively involved in implementing any corrective steps if they are needed.
• Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems.
• Conduct regular staff meetings as a forum for training on new policies and procedures, and any new FINRA, state rules or regulations.
• Assist the Complex Manager in screening new Financial Advisor candidates and may be involved in the on-boarding of new Financial Advisors.

Requirements

• High School diploma; Bachelor’s Degree preferred
• Series 7, 9 and 10, 63, 65 and/or 66
• Excellent customer service skills
• Computer skills in Word, Excel, PowerPoint and Outlook
• Able to work effectively in a fast paced, deadline oriented environment
• Strong attention to detail
• Able to work effectively as part of a team
• Some travel may be required
• High ethical standards

Benefits

• Paid Parental Leave
• Generous Paid Time Off
• Eligibility for a $2,000 referral bonus
• Employee Ownership
• Professional Development Assistance Plan