Summary

　　The Operations Manager reports to the lead financial advisor and is critical to appropriately leveraging the advisor’s time. Strong leadership and project management skills are required for this position. In this role, you will oversee the day-to-day operations of a retail financial services practice specializing in retirement income and investment management. This position is responsible for the oversight of new business processing and provides support in escalating issues, customer service, and other key areas of the practice. Understanding the logistics of the retail financial services practice working within a broker/dealer is paramount. Practice management and previous retail advising experience are highly sought for this role.

　　Essential duties and responsibilities

　　Manage the day-to-day operations of a growing retail financial advisory practice which includes oversight of the opportunity pipeline/sales process and the processing of new business requirements through completion

　　Develop and adjust business processes to maximize business efficiency within the framework of our compliance requirements

　　Oversee the firm KPIs/KPMs and meet regularly with leadership with status updates

　　Coach and develop team members, establish clear expectations, emphasizing accountability, conduct regular performance evaluations, and provide quality and timely feedback

　　Provide junior advisors with sales processes and operational training and development

　　Manage junior advisor goals and sales pipelines

　　Research products, pricing, and complex issue resolution

　　Generate an audited report each month of new sales/deposits into accounts with confirmation that compensation has been received

　　Process the inbound mail each day and direct it to the correct recipient with an emphasis on making sure new checks are processed correctly

　　Maintain CRM database; define and ensure adherence to appropriate client service

　　Manage multiple and competing priorities on a daily basis in pursuit of business objectives

　　Build relationships with our external stakeholders and discover opportunities for our firm to enhance existing and new relationships

　　Serve as a backup for placing trades on client accounts and for inbound client questions that may be related to their investments or account/product features

　　Assist in the talent acquisition process

　　Other responsibilities as assigned

　　Skills & Certificates

　　Strong Leadership and management skills

　　Project management

　　Time management

　　Advanced computer skills including Office 365

　　Ability to build relationships with internal and external stakeholders and influence others

　　Education and Experience

　　Bachelor’s degree in a business-related field preferred

　　10+ years of retail financial services experience

　　5+ years of management experience

　　Experience with Wealthscape, Envestnet, and Redtail a plus

　　Certificates, Licenses, and Registrations

　　Series 7 and 65/66 preferred