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Open nowPosted 79 days ago

Supervisory Operations Manager

janney47 open roles

Where
Houston, TX, USA
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Your applicationOpen nowSupervisory Operations Managerjanney · Houston, TX, USA

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  4. 14.6%14 days
  5. 34.0%30 days
This job: posted 79 days ago

The posting

The Supervisory Operations Manager is responsible for the oversight of all client activities within the Complex (group of branches).  The Supervisory Operations Manager will work closely with the Compliance, Legal and Operations departments.  Additionally, this individual will coordinate any compliance, legal and operational matters involving the Complex with Home Office, Compliance, Legal and other staff in the firm.    What are you good at

Review and approve new account forms, client letters of authorization, all sales correspondence - both written and electronic. Review daily sales transaction, daily blotter and all daily exception reports for the entire Complex.  The Supervisory Operations Manager will work closely with the Complex Manager and will apprise the Complex Manager daily of any problems or any items requiring the direct involvement of the Complex Manager.  The Supervisory Operations Manager will work closely with the Compliance department staff to insure that the Complex is in compliance with all firm policies, and industry rules and regulations.  The Supervisory Operations Manager will also coordinate all Complex audits with the Compliance department and is actively involved in implementing any corrective steps if they are needed. Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems.  Conduct regular staff meetings as a forum for training on new policies and procedures, and any new FINRA, state rules or regulations.  Will assist the Complex Manager in screening new Financial Advisor candidates and may be involved in the on-boarding of new Financial Advisors. 

  What you have Requirements:

High School diploma; Bachelor’s Degree preferred Series 7, 9 and 10, 63, 65 and/or 66 Excellent customer service skills Computer skills in Word, Excel, PowerPoint and Outlook Able to work effectively in a fast paced, deadline oriented environment Strong attention to detail Able to work effectively as part of a team Some travel may be required High ethical standards

Why work for us? Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus, Employee Ownership, and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.  Explore further.   Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. Fostering a positive workplace experience remains a top priority. People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.      

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