Chief Operating Officer

2 months ago

Miami, United States Banco Sabadell, Miami Branch Full time

Sabadell Overview

Sabadell is a global financial institution headquartered in Barcelona, Spain and one of Europe’s oldest and most successful banking groups since its founding in 1881. Sabadell covers all areas of the financial business sector under a common denominator: professional performance and quality. In the United States, Sabadell has operated with an International Full Branch since 1993. We offer Corporate Banking services to international companies in the American market, and Private Banking services primarily to Latin American high net worth individuals and families.


Banco Sabadell is seeking a Chief Operating Officer-Sales Manager candidate to join a dynamic team within one of the fastest growing banks in Florida.


Responsibilities:

• Responsible for the management and development of the Broker Dealer platform in order to increase revenue, control cost, reduce risk and increase customer retention

• Develop and maintain training programs, including investment products, trading

procedures and account opening

• Lead, execute, and manage multiple initiatives which may include system

conversions/implementations, new business expansions, restructuring, and

implementing risk management & internal controls

• Work with the CCO to formulate and update policies and procedures relating to

operations, ensuring the operations of the company meet all of the latest regulatory

requirements as wells as education materials for sales force. Assist POO in managing

operations procedures and risks

• Oversee team projects to ensure alignment and coordination of resources

• Oversee budget planning to include fee schedules and maintenance and management

agreements between affiliates

• Oversight of procurements of professional services / renegotiation vendor service

contracts. Work with Finance and Accounting areas to assist in development

of budgeting, cost management and release vendor invoice payments

• Responsible for the supervisory review of new accounts. Reviews and approves new

account applications and the account maintenance processes

• Investment product selection and due diligence; formulate policies and controls

surrounding such products

• Handling of networking agreement and referrals

• Responsible, as Broker of Record, for all referred accounts by non-registered RM’s

• Supervise, monitor and coach the role of the sales associate on daily activities

• Review and sign “daily blotter” to ensure adherence to best practices, suitability and

correct commission and sales charges

• Review and file monthly Mutual Fund reports, Margin Reports and Options Reports.

• Comprehensive understanding of AML, KYC protocols and customer suitability

• Very strong and broad understanding of Pershing’s Netx360 broker dealer platform.

Strong emphasis in account opening, coding, servicing, asset movement, rules engine

tools, collateral control, manage account billing, trading, and administrative tools,

billing set-ups as well as margin and options controls

• Must possess a unique competitive landscape of business development role in growing

client base through new opportunities and fostering relationships. To include the

internal referral networking relationship with the affiliate bank

• Expertise lies in blending market insight with strategic outreach to expand a company’s

footprint and competitive edge to develop and manage Broker Dealer business plan

• Design and implement investment solutions and strategies supporting Sabadell

Securities commercial growth

• Lead, execute and manage multiple initiatives which may include new business

expansions, restructuring, system conversions/implementations, and implementing

risk management & internal controls

• Manage client relationships from the Broker Dealer perspective. Coordinate account

servicing and answer client inquires promptly. Provided an exceptional customer

experience and ensure regulatory requirements are met and exceeded

• Collaborated with internal teams and peers to keep them informed on market trends

and product offerings

• Monitor business trends, both quantitative and qualitative, and work with

management in determining the FIRM’s financial growth plan and objectives

• Adheres to existing systems and protocols while exploring new policies aimed at

addressing rapidly evolving regulatory oversight, particularly as it pertains to suitability

and fiduciary standards including SEC Best Interest rule and other fiduciary-oriented

legislation

• Excellent organizational, analytical, critical thinking, communication and social skills, a

proactive approach to problem solving, and take immediate ownership of assigned

work allowing you to think big, adapt quickly, and act fast


Minimum Qualifications:

• Bachelor's degree or higher

• Required Licenses: Series 4, Series 7, Series 24, Series 53, and Series 63

• 5-7 years' experience in the financial industry

• FINRA registered Broker Dealer platform

• Proven record building, strong relationships with a solid understanding of client needs

assessment and ongoing evaluations of broker dealer

• Proven record building, strong relationships with a solid understanding of client needs

assessment and ongoing evaluations of broker dealer.


Sabadell is an Equal Employment Opportunity Employer

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