Operations Processing Supervisor

Be a part of the team behind our success!  At Advisor Group, we support more than 5, 000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup.  Join us in building something special.

Experienced Operations Supervisor Opportunity in Financial Services Brokerage Operations

Location:  2300 Windy Ridge Parkway, Atlanta, GA 30339


As a member of our Transition Team, you will support our onboarding Advisors to the firm, team members, members of other internal departments and all levels of management in all aspects of Financial Advisor support in many stages of our processes.  Your insightful contribution will help improve our service.

Our Operation Supervisors are hired into an on-the-job training program that goes through learning our systems and procedures, as well as processing transactions for our Advisors.  Support is related to a variety of service-related issues with exceptional Advisor experience as the goal. 

Keys:  Supervisor of Brokerage Operations, Operations Supervisor, Brokerage Processing Supervisor, Operations Support Supervisor, National Financial Supervisor, Broker-Dealer Supervisor, Financial Services Supervisor, Brokerage Operations Supervisor, Securities Industry Supervisor, National Financial Services LLC Supervisor


  • Supervise Transition processing team. This includes having one-on-one regular meetings, coaching sessions, and conducting daily quality assurance reviews.
  • Manage workflow and provide guidance to meet service level agreements
  • Assist with educating advisors about processes, procedures and systems
  • Assist with developing the team and building their skills
  • Run adhoc reports needed for audits, management and advisors
  • Support other Operational teams on financial transactions, escalations and account maintenance
  • Learn, use and support various financial products, software and systems
  • Assist with various projects and meet deadlines.  
  • Create strong working relationships with internal and external customers and staff
  • Work overtime as needed to support work load and meet project deadlines
  • Perform additional duties as assigned by leadership

Education Requirements:

  • Bachelor’s Degree required in Business Administration.    

Basic Requirements:

  • 5+ years’ experience in a broker-dealer setting working on the National Financial and/or Pershing LLC back office platform as a team lead or supervisor;
  • Active FINRA License Series 7 (required);
  • Highly proficient user of NetX360 and/or Wealthscape, Integrated Cash Platform (ICP) and FBSI Microsoft Word, Excel, Outlook, Power Point and Internet Explorer;
  • Can act as subject matter expert for employees cross functionally;
  • Manage HR responsibilities for personnel;
  • Run and oversee the daily responsibilities of various departments;
  • Motivate staff to contribute to the success of the department;
  • Manage various training sessions/programs, projects and meet deadlines;
  • Excellent written & verbal communication and organizational skills;
  • Exercise strong problem solving and decision making skills.

Preferred Requirements:

  • 3+ years’ experience working on the National Financial Services and/or Pershing LLC Platform;
  • Salesforce Force experience;
  • Has IRA, Margin and Securities, New Account Maintenance, Money Movement and Transfer experience.