Operations 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.

Brokerage Operations Opportunity in Financial Services

Top Producer Operations Supervisor


Location:          2300 Windy Ridge Parkway #750 Atlanta, GA 30339

Summary:

The Top Producer Operations Supervisor is responsible for all aspects of production and service delivery for assigned Operational Team(s).  Our ideal candidate ensures the quality and timeliness in service delivery.  The Operations Supervisor is responsible for development and performance management of all team personnel.

Keys: leadership, brokerage processing, operations support, National Financial Processor, Pershing Processor, Broker-Dealer, Investment Advisor, Financial Services, Brokerage Operation, Investment Advisory Operations.

Responsibilities:

  • Directly manage 10-15 employees within the Operations Department.
  • Carry out managerial duties in accordance with the organization’s policies and applicable laws.
  • Responsible for the daily oversight of team personnel, workflow, processing procedures and problem resolution.
  • Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met.
  • Continually seek out and implement efficiencies and service/process enhancements.  Actively analyses problems, determine casual factors and implement corrective actions.  Exercise strong problem solving and decision-making skills.
  • Determine and manage staffing levels for the team; select candidates for open positions, conduct interviews and work with the Director, Operations to extend employment offers to highly qualified individuals.
  • Manage cross-organizational projects and demonstrate negotiating skills.  Must be able to build effective business relationships with internal departments, financial advisors, and external service providers.
  • Accountable for staff and team development by providing the tools and training need to achieve success.  Provide career planning, goal setting, and coaching support to team members.
  • Enforce department budget and ensure cooperation occurs within budget guidelines.  Work with Director, Operations to identify budget line items and plan for the budget year.
  • This role requires someone who is self-motivated and can motivate others.  This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately.  This role requires the ability to identify when action is necessary to ensure adherence to policies and procedures and to meet goals.
  • All other duties as assigned.

Basic Requirements:

  • At least 5 years industry experience, inclusive of 2 years a supervisor/manager.
  • FINRA Series 7 required, Series 24 within six months of hire
  • FINRA Series 63, 65, or 66 preferred
  • Must already be proficient in the following: Microsoft Excel, Word, Outlook and Internet Explorer.
  • Must become proficient with the following systems: Pershing LLC - NetX360 platform, Front-End Imaging (FEI), SalesForce (contact management and imaging workflow systems), Client Central, DST Vision, Albridge and back office functions.
  • Must be able to acquire and retain knowledge of securities industry rules, Individual Retirement Account IRS rules, and best practices regarding brokerage account operations and have strong organizational and time management skills.
  • Must be team-oriented and client-focused

Education Requirements:

  • This position requires a bachelor’s degree and 5 or more years of related experience in the securities industry.