Financial Operations Director

4 days ago

Fort Worth, Texas, United States First Command Financial Services, Inc. Full time

About the Role

The Brokerage Operations Manager is a pivotal position at First Command Financial Services, Inc. This individual will be responsible for driving business growth within the Brokerage Operations department by effectively responding to the needs of clients, advisors, and the team. They will manage a team of associates, ensuring the successful execution of day-to-day business and mitigating financial, operations, regulatory, and reputation risk to the firm.

Key Responsibilities

  1. Manage team resources to ensure team performance meets regulatory requirements and department productivity and quality standards.
  2. Work collaboratively with management staff to set priorities, monitor activity, and ensure completion of work.
  3. Perform regular reviews of team work practices to ensure quality and compliance with internal and regulatory standards.
  4. Analyze various factors and metrics when making decisions for the department.
  5. Take ownership of escalated issues and exception management, delegating as appropriate to drive resolution.
  6. Identify, develop, and implement training opportunities/strategies using experience, corporate, and divisional resources.
  7. Direct, coach, and mentor the professional growth and success of associates.
  8. Successfully manage a pay-for-performance model that recognizes and rewards the achievement of individual, team, department, and corporate goals.
  9. Maintain, design, and implement process control procedures and department procedures and user guides to ensure timely processing and mitigate risk.
  10. Research and recommend solutions on issues within the department.
  11. Focus on identifying, developing, and implementing opportunities to improve and/or streamline the client/advisor experience.
  12. Perform a supportive role in maintaining the relationship with business partners.
  13. Represent the department in corporate strategic initiatives as a key stakeholder.

Requirements

  • Bachelor's degree in finance, economics, business administration, or a related area or equivalent combination of education and experience.
  • Five-plus years of experience in the financial services industry.
  • Three-to-four years of coaching, supervising, and managing a small-to-mid-size team.
  • Familiarity with various Financial/Brokerage industry concepts, practices, and procedures.
  • Strong oral, written, and organizational skills.
  • Proficient use of Microsoft Office Suite.
  • FINRA Series 7 required.
  • FINRA Series 24 required.
  • FIRNA Series 63 may be required depending on daily responsibilities.

About the Team

  • Problem-solving skills with the ability to analyze trends and identify and communicate problems or concerns.
  • Demonstrate confidence, skill, and professionalism needed to resolve critical issues in a manner that strengthens the client relationship and mitigates risk for the firm.
  • Knowledge of Agile and/or Lean methodology.
  • Execute with a sense of urgency, a drive to make an impact, and a high level of self-confidence.
  • Ability to work well in high-pressure situations and elevated workloads.
  • Desire and ability to actively and positively contribute within a highly collaborative team setting.
  • Curiosity and demonstrated ability to acquire new skills, knowledge, and abilities.
  • Willingness to remain responsive and flexible in a dynamic environment and support the team's deliverables.
  • Ability to engage partners internally and externally in a professional and productive manner to maintain a high level of performance and service.

What You'll Be Doing

  1. Manage team resources and ensure team performance conforms to regulatory requirements and meets department productivity and quality standards.
  2. Work collaboratively with management staff to set priorities, monitor activity, and ensure completion of work.
  3. Perform regular reviews of team work practices to ensure quality and compliance with internal and regulatory standards.
  4. Analyze various factors and metrics when making decisions for the department.
  5. Take ownership of escalated issues and exception management, delegating as appropriate to drive resolution.
  6. Identify, develop, and implement training opportunities/strategies using experience, corporate, and divisional resources.
  7. Direct, coach, and mentor the professional growth and success of associates.
  8. Successfully manage a pay-for-performance model that recognizes and rewards the achievement of individual, team, department, and corporate goals.
  9. Maintain, design, and implement process control procedures and department procedures and user guides to ensure timely processing and mitigate risk.
  10. Research and recommend solutions on issues within the department.
  11. Focus on identifying, developing, and implementing opportunities to improve and/or streamline the client/advisor experience.
  12. Perform a supportive role in maintaining the relationship with business partners.
  13. Represent the department in corporate strategic initiatives as a key stakeholder.

What You'll Need

  • Bachelor's degree in finance, economics, business administration, or a related area or equivalent combination of education and experience.
  • Five-plus years of experience in the financial services industry.
  • Three-to-four years of coaching, supervising, and managing a small-to-mid-size team.
  • Familiarity with various Financial/Brokerage industry concepts, practices, and procedures.
  • Strong oral, written, and organizational skills.
  • Proficient use of Microsoft Office Suite.
  • FINRA Series 7 required.
  • FINRA Series 24 required.
  • FIRNA Series 63 may be required depending on daily responsibilities.

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