Operations Supervisor
22 hours ago
As the ideal candidate, you should possess strong leadership skills, attention to detail, clear and professional communication, a commitment to accuracy, the ability to work effectively within a team, an in-depth knowledge of financial processes, and a positive attitude. As the Supervisor, you will be the Subject Matter Expert in the department and will work closely with the Director of Operations on all department matters.
Responsibilities:
- Plan and prioritize daily team workload to ensure efficient and accurate processing.
- Ensure daily preparation and reconciliation is completed in a timely and accurately.
- Verify and approve all departmental ACH and Wire requests.
- Ensure trade files are properly sent, confirmed, and reconciled prior to daily deadline.
- Service and Research Requests assignment and trend analysis.
- Approve, track, and report Process Improvement implementation.
- Daily department processing as needed.
- Be the Subject Matter Expert (SME) and first escalation point for the department.
- Manage Cost Basis and Tax Lot periodic reporting.
- Ensure compliance with company and department Policies and SOPs.
- Work with Management on process, policy, and SOP improvements.
- Ensure correct outlets are utilized for company, department, and process improvements.
- Manage internal projects to ensure deadlines are met; communicate with internal and external stakeholders to ensure buy-in and understanding throughout the process.
- Present department role PowerPoint to sales representatives and their staff.
- Provide meaningful, timely, and constructive feedback to associates and management.
- Lead weekly team meetings to discuss company, department, and individual needs and goals.
- Lead monthly individual developmental meetings to facilitate open and direct dialog with team members to identify department improvements, career goals, and employee development.
- Manage and facilitate employee training and development.
- Mentor and train junior team members.
- Complete periodic and annual reviews to be approved by the Operations Manager.
Requirements:Critical Competencies:
- Perform all work with excellence and adhere to high standards for quality and integrity.
- Learn from past errors and pay close attention to work to avoid repeating mistakes.
- Pay attention to small details that others may overlook and maintain a focus on precision.
- Ensure all work and behavior aligns with relevant rules, regulations, policies, and best practices and meets the company’s standards of conduct.
- Strive to follow best practices for high-quality work.
- Stay informed about current regulations and potential future developments by closely monitoring information sources.
- Demonstrate a strong sense of discipline and responsibility for recordkeeping and meticulous compliance documentation.
- Maintain a positive and professional attitude.
Important Competencies:
- Communicate concisely, directly, professionally, and unambiguously in written and oral formats, and consider the receiver’s perspective to ensure a clear understanding of the message’s specifics and purpose.
- Display a natural curiosity and desire for a deeper understanding of people, processes, and systems to ensure you are able to clarify and meet expectations.
Supporting Competencies:
- Prioritize completing all work tasks in a timely manner while remaining responsive to competing demands and shifting priorities.
- Show genuine interest in actively listening and understanding the content and meaning of others’ messages.
- Possess intermediate user knowledge of Microsoft 365 Suite focusing on Excel, Word, and Outlook.
- Ability to work overtime with less than 24-hour notice.
Service Principles – BeEPIIC Framework:Belonging - Foster a unified front, bridging diverse talents and perspectives towards our shared goals. Our unity reflects our commitment to collaborate, respect, and support each other in pursuit of collective success.Empowerment - Fostering a supportive environment where employees are encouraged to take ownership, make decisions, and drive positive change for the company and its customers.Pride - Cherish our work, team, and organization. Our pursuit of excellence and respect for our mission, colleagues, customers, and community fuels our collective success and sense of pride.Integrity - Trust, Credibility, Dependability. Our members and partners trusted us with their financial well-being, something we’ll continually earn through integrity in everything we do.Innovation - Embracing change and seeking out creative forward-thinking approaches to better serve our customers and stay ahead of the competition.Customer Centricity - Putting the customer at the heart of each decision and striving to exceed their expectations at every touchpoint.
Education:
- High School Diploma required.
- Bachelor’s degree in finance, Accounting, Business Administration, or related field (or equivalent work experience) a major plus.
- Previous experience of four-plus years in a financial services or operations role.
Licenses and/or Certifications Required:
- FINRA SERIES LICENSE – SIE & 6. The Series 7 is highly encouraged.
View less
Skills:
- Workload Planning and Prioritization
- Efficiency and Accuracy in Processing
- ACH and Wire Request Verification and Approval
- File Management and Reconciliation
- Service and Research Request Management
- Trend Analysis
- Escalation Management
- Policy and SOP Compliance
- Project Management
- Process and Policy Development
Benefits:
- Health
- Eye Care
- Stock Options
- Paid Vacation
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