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Manager Advisor Support

Company:
Leading Financial Services Company
Location:
Phoenix, Arizona, United States
Salary:
$65K - $85K
Posted:
November 07, 2018

Description:

Manager, Operations

Top 5 Must Haves for the Ideal Candidate:

1: 5+ years of financial services experience (preferably in broker-dealer or wealth management space), inclusive of 3+ years as a supervisor/manager or in a leadership role.

2: Ops-minded and highly-accountable leader with a proven track-record of success in increasing customer service and service levels, evidenced by measurable improvements in customer satisfaction, coaching and process improvement

3: Action-oriented leader eager to work alongside and bring along team committed to quality and solving the problems quickly and permanently. Shows up on time always and brings a sense of urgency to the team.

4: Enthusiasm, credibility, communication skills and personality to lead and inspire an established team of high-performers

5: FINRA Licenses 7 & 24

Company Overview:

The client company is in a strong financial position, with a clear and focused growth strategy, undergoing an exciting major cultural transformation. They are dedicated financial advisors, a family of broker dealers and a combined financial services force that is at the crossroads of an industry in transition. The company leadership is committed to setting new industry standards in customer service, with an intense focus on innovation and creativity in all areas.

Company Culture:

Built on an authentic desire to challenge the status quo and drive progress to make the industry better. Working in teams, helping each other and collaborating with freedom and transparency is not just encouraged but expected. The flat organizational structure promotes communication across all levels, with direct access to senior leaders. This company is diverse; dynamic; friendly and passionate about what they do with mandates on accountability, speed and most of all, customer service. Strong commitment to personal growth and development with a focus on internal talent mobility.

The Supervisor of Operations reports directly to the Director of Operations and will

• Be primarily responsible for holding the team accountable for delivering quality and timely service to our Advisors through training and developing direct reports, auditing their work, providing coaching and guidance, handling escalations and driving continuous improvement

• Be responsible and accountable for service delivery to our Advisors for an assigned department of Customer Service Representatives.

Requirements:

• Bachelor’s Degree from accredited university in Business, Finance or related field.

• 5+ years of financial services experience (preferably in broker-dealer or wealth management space), inclusive of 3+ years as a supervisor/manager or in a leadership role.

• FINRA Licenses 7 and 24.

• Experience and comfort with a high-volume operations setting, with competing demands, multiple priorities and fast-paced environment.

• Experience in driving accountability, measuring results, defining and measuring key metrics.

• Recognized expert in operations, customer service fundamentals, operational excellence and leadership.

• Proven track-record of success in increasing customer service and service levels, evidenced by measurable improvements in customer satisfaction, coaching and process improvement.

• Experience in leading Broker-Dealer and/or Registered Investment Advisor operations, including experience with various custodians and clearing firms (e.g. Pershing, NFS, Schwab, TD Ameritrade, AssetMark, etc.) and asset management companies (e.g. Envestnet, AssetMark, SEI, etc.

Principal Accountabilities:

• Lead the assigned department of Customer Service Representatives, engaging managers, supervisors and teams, hiring the best talent, setting goals, developing staff, instilling customer service fundamentals, managing performance and driving accountability.

• Establish a customer-service focused mentality through setting expectations, training/developing staff and measuring key performance criteria.

• Monitor team’s accuracy, timeliness, customer service levels, and customer service attitudes. Provide in-the-moment direction, coaching and corrective feedback. Regularly audit work for accuracy and coachable moments.

• Establish a customer-focused culture (both for internal and external customers) through developing direct reports and the team, setting expectations and leading by example, and establishing a collaborative work environment.

• Drive the concept of continuous improvement within the team by measuring key metrics, holding managers, supervisors and individuals accountable to goals, and inspiring innovative thinking.

• Serve as subject matter expert for escalations. Assist Team Members with research on difficult questions or escalated issues.

Personal Attributes:

• Action oriented, working leader who works alongside the team to get work done

• Superior communication and interpersonal skills; self-motivated and a motivator to others.

• Ability to organize, prioritize and re-prioritize, adapt in a changing environment and handle multiple projects simultaneously.

Compensation

A competitive compensation package will be developed for the successful candidate that includes an excellent base salary and a performance-based bonus. A full package of company benefits, including healthcare and insurance plans, will also be available.

*To apply, please submit your resume and cover letter, preferably in MS Word format, to (Derek Bush at ) a fully detailed, formal specification will be sent to qualified candidates