Registered Operations Leader

Our client is a well-established financial services firm with over a century of experience in investment advice, asset management, and insurance, supported by a large network of financial advisors serving diverse client needs.

They have a strong global presence, with offices across regions. Any third-party content referenced is for general information only and is not endorsed or guaranteed. Investment decisions should be made in consultation with a financial advisor, as all investments carry risks, including potential loss of principal.

Responsibilities: 

• Manage activities that support business results, revenue growth, client experience and efficiencies in practice.
• Manage resources to achieve business results, including revenue and client acquisition targets.
• Partner with Branch Manager to ensure advisor business plans are completed and marketing events are tracked and measured.
• Assist advisors in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions.
• Prepare and summarize client meetings by scheduling and confirming meetings, crafting an agenda and summary of meeting, escorting clients to advisors office and providing follow-up. Prepare and ensure new business paperwork processes are successfully filled out.
• Provide general administrative duties such as answering phones, processing reports, preparing correspondence, setup files, etc.
• Build, manage, track and analyze reports and branch vitals.
• Review advisor expense reports, branch P & L, budgeting, reporting/correcting errors, identify and implement expense reduction opportunities.
• Partner with Registered Principal to ensure compliance support is established and training needs are met.
• Lead real estate and facilities initiatives.
• Lead, coach, mentor and provide performance management for direct reports.
• Partner with Senior Operations Leader and Regional Director of Operations to determine staffing needs; request, hire and allocate staff.
• Conduct 1:1s with staff.



Requirements:

• Bachelors degree or equivalent.
• 5 - 7 years relevant experience required.
• Previous successful supervisory experience including knowledge of HR policies and labor laws.
• Excellent written and verbal communication skills; demonstrated ability to motivate team members to delivery results.
• Ability to manage multiple priorities in a fast-paced environment with little or no supervision and strong organizational/time management skills.
• Able to communicate with all levels within the organization.
• Detail orientated, strong math, and analytical skills. Good organization and time management skills.
• Process oriented and can work with a team. Proficient with standard business software applications.