Job Description

The Operations Manager has the responsibility for leading the functional area dedicated to client servicing which includes but not limited to account opening, asset movement, reporting, updates, and other work flows across multiple custodian platforms. Supervises the personnel of the operations department distributing workload and meeting daily operational plans. Job Responsibilities/Main Functions Client Services Reviews and approves the opening of new accounts received from Investment Professionals across various custodians. Reviews end client’s financial information, investment objectives, source of funds and net worth ensuring compliance with established requirements and plausibility. Handles operational escalations directly with clients and/or other internal resources from the firm. Supervises department personnel ensuring client service is provided timely and in line with established company policies and procedures. Asset Management Reviews and approves wire transfers, check requests, deposits, internal journals, account transfers and free deliveries for clients following established company policies and compliance regulations. Reviews and approves trade corrections. Other Functions Conducts staff meetings to discuss operational and client tasks as well as other human resources matters. Distributes workload within the department personnel to comply with daily plans for the area. Participates in the staffing and selection of personnel under his/her supervision. Supervises all employees ensuring tasks, responsibilities and plans are carried out as per daily, weekly, and monthly plans. Provides input to department Head on areas related to Performance Management and other human resources policies and programs. Ensures team is always up to date on latest updates to firm policies and procedures. Point of contact for internal projects that may involve the area. Record keeping responsibilities. Job Requirements (Education and Experience) Bachelor’s degree in business administration or related field (or equivalent work experience). Minimum of five (5) years of work-related experience. FINRA License 7, 66 and 24 or 9/10. Job Requirements (Knowledge, Skills, and Capabilities) Knowledge of FINRA rules (Financial Industry Regulatory Authority). Extensive knowledge of the financial industry products and services. Understanding of multi-custodian platform management. Knowledge of Pershing Systems Platform a plus. Knowledge of industry regulations. Knowledge of account opening and management. Knowledge of asset movement. Ability to understand legal documentation. Knowledge of AML/Compliance regulations. Ability to understand financial/accounting data and reports. Time management, multi-tasker and analytical skills. Excellent communication skills both written and verbal. Ability to work in a team, fast paced environment Fluent in English and Spanish.

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Work experience placement,

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