Operations Manager
Expedia Group
Sr Field Services & Operations Principal
Transamerica
full-time
Posted on:
Location: 🇺🇸 United States
Visit company websiteSalary
💰 $64,000 - $80,000 per year
Job Level
Senior
Tech Stack
NFS
About the role
- Support the National Financial Services (NFS) platform and functions.
- Conduct and oversee deposit functions as a firm principal.
- Conduct and oversee training of registered representatives and advisors on platforms/technologies, processes, compliance, best practices, etc.
- Conduct and oversee fee changes through Wealthscape.
- As a member of the Call Center, respond to registered representative requests for trading, account maintenance, order entry, platform navigation, cashiering functions, opening and closing accounts, etc.
- Administer Wealthscape functions including setup of prototype plans.
- Ensure adherence to business line processes and controls.
- Support the DocuSign process for integrating disclosures and account maintenance to NFS, track quality reports and identify potential issues.
- Produce reports from Wealthscape to ensure regulatory requirements and AML compliance align with recommendations for individual clients.
- Review and provide reports required for TFA to oversee surveillance and processing.
- Partner with Middle Office on account management services.
- Perform regulatory trading reviews and serve as a backup to head of trading function as needed.
- Identify and develop operational impact metrics, including collecting, analyzing, and reporting.
- Keep up to date on rules and regulations governing firm procedures.
- Identify and develop operational service improvements.
- Perform business review functions as needed/requested.
Requirements
- Bachelor’s degree in finance or business, or equivalent work experience
- Five years of securities/financial services experience
- FINRA Series 7 & 24 (and 63 for states that require)
- Thorough knowledge and experience with NFS
- Thorough knowledge of securities products, FINRA, SEC, and DOL regulations
- Ability to analyze complex issues and recommend solutions
- Excellent written and oral communication and interpersonal skills
- Attention to detail and ability to prioritize multiple responsibilities
- Proficiency using MS Office, including advanced Excel skills
- Preferred Qualifications FINRA Series 65 or 66
