Description

　　Hybrid Work Environment: 40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office.

　　Job Summary

　　Provides direction, leadership and support for assigned department in Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency and drive productivity and quality within their area. Individuals at this level should have a broad understanding of the different areas of Operations. Contact with internal and external customers will be required to identify, research, analyze and resolve issues. Monitors productivity and service levels using the various reports available. Strong people leader to provide coaching, development and performance management.

　　Essential Duties and Responsibilities

　　Partners with cross site peers and managers to establishes performance goals for department; collaborates with and directs associates to meet or exceed these goals

　　Acts as an information source for associates and ensures training and development occurs

　　Plans, assigns, monitors, reviews, evaluates and leads the work of associates

　　Oversees team morale and plans for appropriate team building activities and rewards and recognition

　　Handles performance management including career development and progressive discipline of direct reports

　　Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover

　　Works in cooperation with peers on establishing objectives and developing processes and procedures to ensure efficient and timely work flow with special regards to service delivery, compliance and risk factors for the firm.

　　Establishes internal or external partnership opportunities, through analysis of business needs and relationships that may enhance success

　　Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc)

　　Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapt

　　Takes decisive action when necessary and conveys a sense of urgency to deliver results

　　Interprets and applies organizational policies and procedures

　　Effectively collaborates with other supervisors in the same or different functional groups to accomplish assigned goals and process/policy changes; oftentimes this collaboration occurs across multiple sites

　　Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessary

　　Effectively implements system changes and identifies and manages impacts to team and advisors

　　Qualifications

　　Knowledge, Skills, and Abilities

　　Knowledge of

　　Investment concepts, practices and procedures used in the securities industry

　　Financial markets and products

　　Skill in

　　Interpreting and applying policies and procedures

　　Establishing operational objectives

　　Implementing processes and procedures for efficient and timely work flow

　　Promoting effective coordination between work groups

　　Preparing operational budgets

　　Ability to

　　Learn the concepts, principles and practices of assigned functional area

　　Plan, assign, monitor, review, evaluate and supervise the work of others

　　Coach and mentor others

　　Identify training needs and develop subordinates

　　Balance conflicting resource and priority demands

　　Partner with other functional areas to accomplish objectives

　　Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed

　　Incorporate needs, wants and goals from different business unit perspectives into operational processes

　　Communicate effectively, both orally and in writing

　　Work independently as well as collaboratively within a team environment

　　Lead others in providing a high level of customer service

　　Establish and maintain effective working relationships at all levels of the organization

　　Educational/Previous Experience Requirements

　　Education/Previous Experience

　　Bachelor's degree in a related field or an equivalent combination of education and work experience.

　　Three (3) or more years’ experience in financial services / operations including one (1) year as team lead or leadership experience in a financial or service organization.

　　Licenses/Certifications

　　SIE required provided that an exemption or grandfathering cannot be applied.

　　Series 99 , or ability to obtain within 120 days (as required by FINRA) may be required depending on assigned functional area. Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.

　　Job: Operations

　　Primary Location: US-TN-Memphis-Memphis

　　Organization Operations & Administration

　　Schedule Full-time

　　Job Shift Day Job

　　Travel Yes, 10 % of the Time

　　Req ID: 2400272