Complex Operations & Compliance Manager

Janney Montgomery Scott LLC; Village of Garden City (NY); On-site; USD 93,000 - 121,000; Full time

Benefits offered by this job

Paid parental leave

Paid time off

Referral bonus

Employee ownership

Professional development assistance

Job summary

Janney Montgomery Scott LLC in New York seeks a Complex Supervisory Manager to oversee branch operations, supervision and compliance within the complex of three offices. You will partner with the Complex Director and Home Office to ensure regulatory updates, attestations, training, and risk controls while mentoring staff.

Strong customer service and meticulous attention to detail are required. Responsibilities include coordinating approvals for accounts and transfers, coordinating marketing

Qualifications

• High school diploma; bachelor’s degree preferred, otherwise equivalent experience.
• Series 7/63/65 or 66; 9 and 10 to be obtained upon hire.
• Strong communication, active listening and client service.
• Proficiency with Microsoft Office and Salesforce; Thompson One.
• Ability to work in fast-paced, deadline-oriented environment.

Responsibilities

• Oversees branch operational, supervisory and compliance functions.
• Escalates compliance, operational, and risk-related issues to supervision or Home Office.
• Maintains awareness of regulatory updates and implements procedures and firm initiatives.
• Supports completion of annual compliance requirements including attestations, continuing education, branch inspections and training.
• Coordinates approvals for New Accounts, ACH, Wire Transfers, Journals, Annuities and other transactions.
• Coordinates Marketing approvals and expenses for events and sponsorships.

Skills

Communication skills

Active listening

Client service

Team collaboration

Attention to detail

Problem solving

Strategic thinking

Adaptability

Education

High School diploma

Bachelor's degree preferred

Tools

Word

Excel

PowerPoint

Outlook

Salesforce

Thompson One

Job description

Janney Montgomery Scott LLC in New York seeks a Complex Supervisory Manager to oversee branch operations, supervision and compliance within the complex of three offices. You will partner with the Complex Director and Home Office to ensure regulatory updates, attestations, training, and risk controls while mentoring staff.

Strong customer service and meticulous attention to detail are required. Responsibilities include coordinating approvals for accounts and transfers, coordinating marketing