Revolution Technologies | Vice President, Operations | Non-Financial Regulatory Reporting | memphis, tn

1 week ago

memphis, United States Revolution Technologies Full time

Direct hire position with one of the leading Financial Services Companies


Required experience:


  • Consolidated Audit Trail (CAT)
  • Customer Account Information Systems (CAIS)
  • Large Options Position Report (LOPR)
  • Treasury International Capital (TIC)
  • SEC 13F and 13F-2 filings


This position will follow our hybrid work model; we expect the selected candidate to work 3-days a week at one of our corporate home offices, which are located in St. Petersburg, FL, Memphis, TN and Southfield, MI.


Job Summary:

Under administrative direction, and with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to manage and oversee the non-financial regulatory reporting function. The leader will regularly interact with industry regulators, vendors, compliance and legal. Leads large projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Regular contact with various departments and Senior Management is required, to provide comprehensive solutions to complex problems or needs.

Essential Duties and Responsibilities:

Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate managers and supervisors.

Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.

Coaches and mentors subordinates, identifies training needs, and creates development plans.

Interprets, applies and recommends changes to organizational policies and procedures.

Collaborates with trading, compliance and technology to identify and implement solutions.

Stays informed of regulatory developments and industry best practices to ensure the non-financial regulatory reporting with FINRA, IRS, SEC, remains current and effective.

Prepares and presents comprehensive reports and findings to senior management and regulators.

Responsible for management of multiple vendor relationships, including selection, replacement ongoing oversight and controls.

Responds to and oversees responses to regulatory inquires, as needed.

Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely work flow.

Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.

Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.

Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.

Ensures effective coordination occurs between assigned functional area(s) and other areas.

Identifies trends and implements corrective action as necessary.

Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.

Develop and administer policies, procedures, and budget for the department. Ensure policies and procedures are interpreted and carried out properly.

Performs other duties and responsibilities as assigned.


Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:


  • Project management methodology sufficient to act in a sponsorship role.
  • Principles of finance and securities industry operations.
  • Proven experience in compliance, risk or a related field within the financial services industry.
  • Financial industry regulation such as FINRA Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS), Large Options Position Report (LOPR)
  • Financial markets and products.
  • Performance management.


Skill in:

  • Preparing operational budgets.
  • Interpreting and applying policies and procedures.
  • Establishing operational objectives.
  • Implementing processes and procedures for efficient and timely work flow.
  • Preparing management reports.
  • Promoting effective coordination between work groups.
  • Project management skills and experience sufficient to successfully complete long and short-term projects.


Ability to:

  • Plan, assign, monitor, review, evaluate and supervise the work of others.
  • Coach and mentor others.
  • Identify training needs and develop subordinates.
  • Balance conflicting resource and priority demands.
  • Maintain currency in assigned area of responsibility.
  • Partner with other functional areas to accomplish objectives.
  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  • Plan, assign, monitor, review, evaluate and supervise the work of others.
  • Coach and mentor others.
  • Identify training needs and develop subordinates.
  • Balance conflicting resource and priority demands.
  • Maintain currency in assigned area of responsibility.
  • Partner with other functional areas to accomplish objectives.
  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
  • Incorporate needs, wants and goals from different business unit perspectives into operational processes.
  • Read, interpret, analyze and apply information from job-related publications.
  • Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.
  • Interpret and apply policies.
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
  • Communicate effectively, both orally and in writing.
  • Work independently as well as collaboratively within a team environment.
  • Lead others in providing a high level of customer service
  • Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirements:

Bachelor’s Degree (B.A.) in finance, business administration or related field and eight (8) years experience in financial services, including five (5) years in a management position.

OR ~Any equivalent combination of experience, education, and/or training approved by Human Resources.

  • Director of Operations

    2 weeks ago

    Memphis, United States Premier Memphis Transportation Full time

    J & T Charters provides year-round tour buses, event transportation, transit and shuttle buses to the TN, LA and AR area. We are seeking a hard-working, professional Fleet Manager that has a heart for people and passion for travel for our Memphis, TN location. We pride ourselves on providing safe and comfortable transportation options for our...

  • Financial Reporting Manager

    6 months ago

    Memphis, United States First Horizon Bank Full time

    Summary Financial Reporting Manager is responsible for managing the preparation and distribution of periodic financial statements for external use. Ensures that reports, filings and documentation complies with company's regulations, professional standards, and SEC and GAAP reporting guidelines. Key Responsibilities Provide financial and regulatory...

  • Intellisoft Technologies | Technical Writer | memphis, tn

    4 days ago

    Memphis, United States Intellisoft Technologies Full time

    *******************************Technical Writer Role************************ Location: Memphis, TN Duration: Long Term Job Description: Works under the direction of the assigned manager. Develops comprehensive documentation that meets organizational standards. Obtains a deep understanding of products and services to translate complex product information into...

  • Career Day in Memphis, TN

    1 month ago

    Memphis, United States Community Choice Financial Family of Brands Full time

    Overview: Join us for Career Day in Memphis, TN!Thursday, November 7th, 202410AM - 5PM  Titlemax Of Memphis, TN #214894 Summer AveMemphis, TN 38122(901) 590-1371  To continue providing even more financial solutions and rewarding career opportunities to support the communities where we live and work, the TMX Finance® Family of Companies is now part of...

  • Career Day in Memphis, TN

    1 month ago

    Memphis, United States Community Choice Financial Family of Brands Full time

    Overview: Join us for Career Day in Memphis, TN!Thursday, November 21st, 202411AM - 5PM  Titlemax Of Memphis, TN #146330 WINCHESTER RD STE 101Memphis, TN 38115(901) 590-1246  To continue providing even more financial solutions and rewarding career opportunities to support the communities where we live and work, the TMX Finance® Family of Companies is...

  • Career Day in Memphis, TN

    1 month ago

    Memphis, United States Community Choice Financial Family of Brands Full time

    Overview: Join us for Career Day in Memphis, TN!Thursday, November 14th, 202410AM - 5PM  Titlemax Of Memphis, TN #25343 KNIGHT ARNOLD ROADMemphis, TN 38115(901) 590-1162  To continue providing even more financial solutions and rewarding career opportunities to support the communities where we live and work, the TMX Finance® Family of Companies is now...

  • Career Day in Memphis, TN

    1 month ago

    Memphis, United States Community Choice Financial Family of Brands Full time

    Overview: Join us for Career Day in Memphis, TN!Thursday, November 7th, 202411AM - 5PM  Titlemax Of Memphis, TN #185409 Elvis Presley BlvdMemphis, TN 38116(901) 590-1238  To continue providing even more financial solutions and rewarding career opportunities to support the communities where we live and work, the TMX Finance® Family of Companies is now...

  • Career Day in Memphis, TN

    3 weeks ago

    Memphis, United States Community Choice Financial Family of Brands Full time

    Overview: Join us for Career Day in Memphis, TN!Thursday, November 21st, 202410AM - 5PM  Titlemax Of Memphis, TN #185409 Elvis Presley BlvdMemphis, TN 38116(901) 590-1238  To continue providing even more financial solutions and rewarding career opportunities to support the communities where we live and work, the TMX Finance® Family of Companies is now...

  • Physical Therapist

    4 weeks ago

    Memphis, United States Memphis Physical Therapy Full time

    Overview Clinic: Memphis Physical Therapy Position: Physical Therapist  Employment Type: Full-Time New Graduates Welcome to Apply! At Memphis Physical Therapy, we’re proud to offer excellent physical therapy in Memphis, Tennessee. We're a vibrant and progressive clinic that values creativity, collaboration, and pushing the boundaries of what's...

  • Metasys Technologies | Customer Service Representative | memphis, tn

    1 week ago

    memphis, United States Metasys Technologies Full time

    Once selected you should be eligible pass through the Drug Test, and Background Test.Driving- less than 25% (personal vehicle)Role: Delivery Ops - Account Support Rep Level 1Location: Memphis, TN 38118Duration: 12+ MonthsShift timings: 9am - 3:30pm (Mon - Fri) Part timeESSENTIAL FUNCTIONS:- Provides dedicated support to all Client Associate positions , but...

  • Metasys Technologies | Customer Service Representative | memphis, tn

    7 days ago

    Memphis, United States Metasys Technologies Full time

    Once selected you should be eligible pass through the Drug Test, and Background Test. Driving- less than 25% (personal vehicle) Role: Delivery Ops - Account Support Rep Level 1 Location: Memphis, TN 38118 Duration: 12+ Months Shift timings: 9am - 3:30pm (Mon - Fri) Part time ESSENTIAL FUNCTIONS:- Provides dedicated support to all Client Associate positions...

  • Metasys Technologies | Customer Service Representative | memphis, tn

    1 week ago

    memphis, United States Metasys Technologies Full time

    Once selected you should be eligible pass through the Drug Test, and Background Test.Driving- less than 25% (personal vehicle)Role: Delivery Ops - Account Support Rep Level 1Location: Memphis, TN 38118Duration: 12+ MonthsShift timings: 9am - 3:30pm (Mon - Fri) Part timeESSENTIAL FUNCTIONS:- Provides dedicated support to all Client Associate positions , but...

  • Non-CDL Local Box Truck Owner Operator

    4 weeks ago

    Memphis, United States Drive My Way Full time

    We are looking for an Owner Operator/Independent Contractor that has a 26ft box truck interested in operating exclusively under CEVA's authority. Must have helper. The work would involve delivering freight of all kinds locally to our residential and commercial customers Monday through Friday during the day.Home Daily Compensation: Top Box Truck Owner...

  • Non-CDL Local Box Truck Owner Operator

    4 weeks ago

    Memphis, United States CEVA Freight, LLC - First & Final Mile Full time

    We are looking for an Owner Operator/Independent Contractor that has a 26ft box truck interested in operating exclusively under CEVAs authority. Must have helper. The work would involve delivering freight of all kinds locally to our residential and commercial customers Monday through Friday during the day.Home Daily Compensation: Top Box Truck Owner...

  • Customer Account Associate | Memphis, TN

    2 weeks ago

    Memphis, United States Raymond James Financial Incorporated Full time

    This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 2-3 per week averaging 10-12 days per month in our Memphis, TN Corporate Office. Job Summary: Serves as the agent between Branches and the Home Office in call center environment. Reviews, updates, maintains, and...

  • Operating Room Registered Nurse Memphis, TN

    3 weeks ago

    Memphis, United States Soliant Full time

    Job DescriptionJob DescriptionMinimum 1+ years nursing experience required.Operating Room Registered Nurse Memphis, TNLocation: Memphis, TN 38103Were seeking an experienced OR RN to join a highly skilled surgical team in vibrant Memphis, Tennessee. If you have a passion for perioperative nursing and are looking for an engaging environment, this role might be...

  • Aegis Sortation | Sr. Project Scheduler | memphis, tn

    1 week ago

    memphis, United States Aegis Sortation Full time

    JOB SUMMARYThe Corporate Scheduler is a mid to senior level Project Scheduler responsible for the full development project schedules, project resource planning, and reporting both internal and to the customer. This including compliance with all aspects of the project timeline, budget, and specifications while also addressing our clients’ needs and...

  • Aegis Sortation | Sr. Project Scheduler | memphis, tn

    1 week ago

    memphis, United States Aegis Sortation Full time

    JOB SUMMARYThe Corporate Scheduler is a mid to senior level Project Scheduler responsible for the full development project schedules, project resource planning, and reporting both internal and to the customer. This including compliance with all aspects of the project timeline, budget, and specifications while also addressing our clients’ needs and...

  • Senior Vice President of School Age Services

    2 weeks ago

    Memphis, United States Scion Staffing Full time

    Job DescriptionJob DescriptionScion Nonprofit Staffing, an award-winning full-service staffing firm, has been engaged to conduct an immediate search for a Senior Vice President (SVP) of School Aged Services, Memphis-Shelby County Schools (MCSC) on behalf of our client, a mission-driven association supporting community engagement. This full-time on-site role...

  • Vice President, Global People

    2 weeks ago

    Memphis, United States The Juice Plus+ Company Full time

    Vice President, Global People & Culture Memphis / HybridThe Juice Plus+ Company is a multimillion-dollar competitor in the health and wellness industry, using a unique combination of direct sales and e-commerce to market our plant-based nutritional products in pursuit of our mission to “Inspire Healthy Living Around the World.” We currently operate in 25...