Cnect

Operations Manager

Cnect

full-time

Posted on:

Location Type: Hybrid

Location: Saint Cloud • Minnesota • United States

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Salary

💰 $87,000 - $137,000 per year

About the role

  • Lead and manage a Brokerage Operations team to ensure processes, guidelines and WSP requirements are achieved
  • Ensure adherence to regulatory rules
  • Experience leading brokerage back-office functions
  • Working knowledge of operational aspects of Finance, Accounting, Client Account Transfers, Mutual Funds and Investor Communications
  • Identify process issues/concerns, analyze issues and provide insightful and timely recommendations for improvement
  • Ensure all employees understand and achieve SLAs and Quality standards
  • Act as a liaison with external vendors as well as internal departments
  • Identify, interview and hire candidates for open positions
  • Partner with the training coordinator to identify key skills required for all new employees
  • Contribute to and cultivate a culture of compliance
  • Monitor and enforce policies/procedures with all business units
  • Provide development and daily task coaching

Requirements

  • 5 years of related experience in financial service, operations or customer service
  • Experience in the brokerage financial industry including applicable regulatory rules
  • Experience leading other Supervisors and team members
  • Proficiency in Microsoft Office suite
  • FINRA SIE and Series 99 License
  • Bachelor’s degree
  • Prior experience working in an advisor office
  • Licensing (other FINRA Licensing). Series 7, 24, 27.
  • Familiarity with Broadridge/Schwab/Fidelity/Pershing systems
  • Advisory platforms. For example, Orion and Envestnet.
Benefits
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Applicant Tracking System Keywords

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Hard Skills & Tools
brokerage operationsfinancial servicesclient account transfersmutual fundsinvestor communicationsprocess improvementSLA managementcoaching
Soft Skills
leadershipcommunicationanalytical skillsproblem-solvingteam managementtraining and developmentcompliance culture
Certifications
FINRA SIESeries 99 LicenseSeries 7Series 24Series 27