Position: Operations Manager (Registered Principal)
Department: AE Financial Services
Reporting to: Wealth Management VP of Operations
Overview:
We are looking for a securities licensed Operations Manager to support the operational functions of our brokerage platform, AE Financial Services. In this role you will act as the designated register principal by FINRA and SEC requirements; including a variety of duties related to accounts, trades, reporting and supervisory reviews. This position will lead the small but mighty operations team, who's core function is to deliver exceptional services to our clients (advisors) in a fast-paced everchanging environment.
What you'll do:
- Reviewing and approving new account applications and maintenance requests
- Monitor risk in a manner consistent with paramount fiduciary duties and company values
- Request supporting documentation, corrections, or suitability information as needed
- Investigate and address supervisory issues/discrepancies to ensure compliance with FINRA and AML program
- Assist advisors, support staff and clients with questions regarding account requests
- Review daily/weekly/monthly exception reports
- Help develop and maintain policies and procedures
- Hire, train and develop operations associates; Set clear expectations for team members, monitor progress to goals, and provide regular feedback on performance
Experience you'll bring:
- FINRA Registrations: Series 7, 24, 66 (or 63 & 65)
- 2 plus years of experience in financial services (broker dealer or RIA)
- Strong knowledge of FINRA & SEC Regulation
- Strong skills and experience working with Microsoft Excel
- Confident, professional, and articulate in written and verbal communication; strong listening and fact-finding skills
- Strong organizational skills: capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
- Proven analytical, problem-solving, and decision-making skills
- An aptitude for technology, embrace change, and have a desire to learn
Bonus Points:
- Previous leadership experience
- Bachelor's degree in related field
What you'll get:
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package upon your start date
- Access to an on-site cafe, gym and primary care physician
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
- Employee sponsored events...and more!
Who We Are:
Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions, to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!
Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.
Advisors Excel
November 16, 2022