Regional Operations Manager
New
United StatesFull-TimeManager
Salary not disclosed
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Job Details
- Experience
- 2+ years
- Required Skills
- ComplianceAccount ManagementProcess improvement
Requirements
- 2+ years of experience in operations and/or client service within financial services, preferably in private wealth management or advisory environments.
- Strong understanding of brokerage operations, onboarding procedures, account servicing, and money movement processes.
- Series 7 and Series 66 licenses required; Series 9 & 10 preferred or willingness to obtain within a defined timeframe.
- Bachelor’s degree required, or equivalent relevant industry experience.
- Excellent organizational and multitasking abilities with strong attention to detail in fast-paced environments.
- Strong written, verbal, and interpersonal communication skills.
- Analytical mindset with experience identifying operational improvements.
- Comfortable leveraging technology and productivity tools, including AI-enabled solutions.
Responsibilities
- Support the execution of the regional operational and service strategy in collaboration with leadership teams and operational stakeholders.
- Act as a key escalation resource for complex operational, service, and administrative matters, ensuring efficient issue resolution and strong client outcomes.
- Provide operational support for advisor teams, including account onboarding, account maintenance, asset transfers, money movement, and client lifecycle processes.
- Coordinate onboarding and integration activities for newly recruited advisor teams while collaborating with compliance, technology, marketing, and operations teams.
- Monitor operational workflows, identify inefficiencies or risks, and contribute to process optimization and standardization initiatives.
- Ensure operational activities remain aligned with regulatory requirements, internal policies, and service quality standards.
- Participate in remediation initiatives, advisor transitions, and special regional projects aimed at improving operational effectiveness and client experience.
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