Complex Operations Manager

RBC; New York (NY); On-site; USD 65,000 - 105,000; Full time

Job summary

Join a leading financial services company as a Complex Operations Manager in New York. This role involves overseeing client funds, managing a team, and ensuring compliance with regulations. Candidates should have at least 5 years of experience in the financial services industry and relevant licenses. Enjoy a comprehensive rewards program and opportunities for career advancement.

Benefits

Comprehensive Total Rewards Program

Supportive leadership for development

Flexible work/life balance options

Career advancement opportunities

Qualifications

• Minimum of 5 years in financial services with knowledge of various financial products.
• Series 7 and 66 (or 63/65) licenses required.
• Ability to manage multiple priorities in a fast-paced environment.

Responsibilities

• Oversee delivery and receipt of client funds and securities.
• Review and approve cost basis changes.
• Provide daily and monthly reports to management.

Skills

Attention to detail

Math skills

Organizational skills

Problem-solving skills

Communication skills

Education

Bachelor’s degree

Job description

Join to apply for the Complex Operations Manager role at RBC

Embrace RBC Wealth Management’s core values and culture of doing what’s right. As a Complex Operations Manager (COM), you will monitor all complex operations activities including acceptance and distribution of clients’ funds and securities. You will coach and supervise the complex operations associates to ensure they execute functions consistent with branch, firm, and regulatory policies and procedures.

Responsibilities include:

• Overseeing the delivery and receipt of all client funds and securities.
• Reviewing and approving cost basis changes and communicating margin-related issues to Financial Advisors and Client Associates, then communicating resolutions to the margin department.
• Providing daily and monthly reports to the Complex Administrative Manager.
• Partnering with the Complex Administrative Manager to onboard and train associates.
• Maintaining strong relationships within the team and resolving issues effectively.
• Coordinating maintenance of operations-related systems and equipment.
• Securing the complex cashiering office at all times.

Qualifications needed:

• Minimum of 5 years of experience in the financial services industry, with knowledge of fixed income, equities, mutual funds, insurance, annuities, and retirement plans.
• Series 7, 66 (or 63/65 licenses).
• Strong attention to detail, math, organizational, and problem-solving skills.
• Excellent communication skills.
• Ability to work effectively in a fast-paced environment managing multiple priorities.

Preferred qualifications:

• Bachelor’s degree.
• Previous supervisory or management experience.
• Series 8 (or 9/10) license or ability to obtain within 12 months.

Benefits include:

• Comprehensive Total Rewards Program including bonuses, benefits, and stock options.
• Supportive leadership for your development.
• Opportunities to make a meaningful impact.
• Flexible work/life balance options.
• Career advancement opportunities across the business.

The salary range is $65,000-$105,000, with potential additional earnings through RBC’s discretionary variable compensation program.

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