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Steward Partners Investment Solutions


Position Overview:

The Operations Manager is primarily responsible for the overall operational and business functions within assigned branches. The Operations Manager works closely with the Divisional President and Head of Operations to supervise all operational, assigned risk/compliance functions, service and transition duties for the covered branches which also includes the management of all sales support personnel within those locations.

Duties and Responsibilities:

Operational Management, Risk/Compliance:

  • Perform daily supervisory tasks such as reviewing trade blotter, approving deposits and correspondence, review sign off requests for marketing review, money movement approvals, complaint processing, trade corrections and other operational functions
  • Review, escalation and completion of assigned tasks in Supervisory Workstation and Quarterly Business Risk Assessment in partnership with Divisional President and Risk partners
  • Timely escalation of complex risk/compliance items to Divisional President for action and resolution
  • Respond to compliance and/or operational inquiries from back office, ensure overnight mailings and regular mailings are sent, process ACAT fee reimbursements and work with branch personnel on escalations as needed
  • Preparation and participation in branch audits, responding to and remediating any audit findings
  • Facilitate and oversee escalation and resolution of operational issues across the Division
  • Take direction from the Operation and Risk leads on policy or process updates that need to be implemented within branches

Transition Management:

  • Play a key role in the preparation for onboarding new Advisors and their team and be point of contact at the branch for all transition activity
  • In partnership with custodians and the Divisional President, facilitate client discovery “spreadsheet” calls with prospective advisors and ensure accurate documentation in compliance with protocol requirements
  • Anticipate and appropriately plan for resource needs and support during the transition period
  • Ensure new Advisors and their teams have the appropriate set up on arrival, including but not limited to, building access, technology and telephones, providing onboarding resources, information and points of reference, ensuring appropriate personnel are available onsite as needed, coordinate mailings and office resources
  • Supervise Transition Management resources, providing direction, oversight and leadership
  • Provide continued oversight and support newly recruited teams including ensuring all new employee accounts have been opened and papered, any outstanding items completed, ensure cleanup after the onboarding has been completed

Build & Maintain Relationships

  • Maintain regular branch visitation schedule across assigned branches to ensure visibility, connectivity and promote Firm culture
  • Build effective teams by constantly communicating relevant information on a timely basis and conducting regular meetings, facilitate collaboration of Client Administrative Managers (CAMs) and encouraging idea sharing and partnership

Human Resources:

  • Responsible for supervision of CAMs including maintaining/approving approve vacation requests and records to ensure proper coverage
  • Conducting career conversations and support employee development by providing regular feedback and guidance, performance reviews and performance improvement plans
  • Coach, train and develop employees ensuring they have access to suitable resources, programs and technology
  • Responsible for training newly hired personnel on all Firm systems and procedures promoting risk awareness and a compliant environment
  • Partner with Divisional President and Human Resources on any employee related issues requiring escalation

Branch Oversight/Management:

  • Manage office infrastructure such as ordering and maintaining supplies, building management, technology escalations
  • Point of contact for Advisors to provide operational guidance, support and resources, escalating to the Divisional President or other party as appropriate
  • Oversee various projects throughout the Division such as real estate
  • Develop and maintain relationships with key partners
  • Other ad hoc duties or projects that may be assigned by the Firm Management

Education, experience, knowledge, and skills:

  • Bachelor’s degree required or equivalent education or experience
  • Active series 7, 9/10 or equivalent, and 63, 65 or 66, Life & Health Insurance license is a plus
  • Other licenses as required for the role or by management
  • Financial Services experience, preferably in Wealth Management and related products
  • Operations management experience, particularly around risk/control disciplines
  • Demonstrated ability to lead a team and previous supervisory experience
  • Effective written and verbal skills
  • An excellent communicator with conflict resolution skills
  • Highly organized with exceptional judgement to resolve issues and escalate as appropriate
  • Ability to be a strong partner working with stakeholders and internal clients to build rapport and trust
  • Innovative and always looking for ways technology and process improvements can make your team more efficient and effective
  • Ability to effectively prioritize, delegate and train to enable and empower a team

For additional information or to submit a resume, please contact:
Jamie Markowitz

Securities and investment advisory services are offered through Steward Partners Investment Solutions, LLC, registered broker/dealer, registered investment adviser, Member FINRA/SIPC. Steward Partners Investment Solutions, LLC is an affiliate of Steward Partners Global Advisory, LLC.
Check the background of this financial professional on FINRA's BrokerCheck
Check the background of this financial professional on FINRA's BrokerCheck