Branch Operations Leader - Compliance & Audits

Janney; Houston (TX); On-site; USD 65,000 - 90,000; Full time

Job summary

Janney is a leading financial services firm seeking a Branch Operations Manager to oversee client activities across the Complex and work with Compliance, Legal, and Operations. You will coordinate compliance, legal, and operational matters with Home Office and staff nationwide.

Key duties include reviewing new account forms and client letters, monitoring daily blotter and reports, and ensuring adherence to firm policies and FINRA rules.

Qualifications

• High School diploma; Bachelor’s Degree preferred.
• FINRA licenses (Series 7/9/10, 63/65/66) preferred.
• Proficient with Word, Excel, PowerPoint and Outlook.

Responsibilities

• Review and approve new account forms and client letters.
• Monitor daily blotter and exception reports for the Complex.
• Ensure compliance with firm policies and industry rules.
• Coordinate audits with Compliance and Home Office.
• Assist in onboarding new Financial Advisors.

Skills

Attention to detail

Team collaboration

Deadline oriented

Communication skills

Education

High School diploma

Bachelor’s Degree preferred

Tools

Word

Excel

PowerPoint

Outlook

Job description

Janney is a leading financial services firm seeking a Branch Operations Manager to oversee client activities across the Complex and work with Compliance, Legal, and Operations. You will coordinate compliance, legal, and operational matters with Home Office and staff nationwide.

Key duties include reviewing new account forms and client letters, monitoring daily blotter and reports, and ensuring adherence to firm policies and FINRA rules.