Investment Services New Business Manager

COUNTRY Financial®; Bloomington (IL); On-site; USD 114,000 - 157,000; Full time

Benefits offered by this job

401(k) with company match

Insurance benefits (medical, dental,-?

Vision coverage

Disability insurance

Life insurance

Job summary

COUNTRY Financial in Bloomington, IL seeks an experienced operations leader to manage new business processes and broker-dealer operations for the Investment Services Division, overseeing onboarding, administration, and regulatory compliance. The role requires 8+ years of relevant experience, FINRA registrations (SIE, Series 6, 63, 26, 51) and Life & Health Insurance licensing within 6 months.

You will mentor teams, collaborate with regulatory and operations, and drive process improvements.

Qualifications

• 8+ years of relevant experience or a combination of related experience, education and training, including management experience.
• FINRA registrations (SIE, Series 6, 63, 26, 51) and Life Health Insurance licensing required within 6 months of job placement.

Responsibilities

• Oversee suitability reviews and ensure compliance with all applicable laws.
• Lead and mentor teams to deliver quality products and services across divisions.
• Analyze processes to develop sustainable, repeatable improvements.
• Collaborate with support units to ensure smooth onboarding and account procedures.
• Train staff on regulatory issues for retirement plans and investments.
• Manage disaster recovery plans and communications during incidents.

Skills

Regulatory compliance

Leadership

Process improvement

Education

Bachelor's degree or equivalent experience

Job description

Experience more with a career at COUNTRY Financial! We’re excited you’re interested in a career at COUNTRY as we strive toward our vision - to enrich lives in the communities we serve. Our footprint spans coast to coast. But more important than where we operate, is the people who do the work.

About The Role

Responsible for managing the new business processes and broker dealer operations for the Investment Services Division, with direction and oversight across multiple investment products and services while maintaining overall accountability for assigned operations and coordinating related activities across areas. Manages activities and workflow related to account onboarding, administration, and identifying system issues. Consults with Compliance Managers and staff to resolve suitability and processing errors in accordance with regulatory and compliance standards while partnering with operational teams to support all new and existing business activities including new account opening, suitability, principal sign-off, and efficient processing.

How does this role make an impact?

• Oversee suitability reviews and ensure compliance with all applicable laws and regulatory bodies.


• Provide leadership and mentoring to facilitate quality products and services for CTB, CCMC and CILAC while coordinating with other divisions on sales tactics, marketing resources, and communication plans.


• Analyzes and measures the effectiveness of existing business processes, developing sustainable, repeatable, and quantifiable process improvements.


• Work closely with other support units to deliver effective account onboarding and perform account procedures within guidelines.


• Provide training on technical and regulatory issues for retirement plans, tax reporting, investments, and asset allocations.


• Manages the implementation and maintenance of disaster recovery plans and activities in assigned areas. Maintains current contact information for all employees in applicable areas and communicates with non-recovery employees during a disaster.

Do you have what we're looking for?

Typically requires 8+ years of relevant experience or a combination of related experience, education and training, including management experience.

FINRA registrations (SIE, Series 6, 63, 26, 51) and Life Health Insurance licensing required within 6 months of job placement

Base Pay Range

$114,000-$156,750

Incentive Pay

In addition to base salary, this position is eligible for a Short-Term Incentive plan.

Why work with us?

Our employees and representatives serve nearly one million households with our diverse range of personal and business insurance products as well as retirement and investment services. We build relationships and work together to create a stronger, more secure future for our clients and our communities. We’re a big company, yet small enough you can make an impact and won’t get lost in the shuffle. You’ll have the opportunity to learn and grow throughout your career, either within this role or by exploring other areas of our business.

You’ll be able to take advantage of our benefits package, which includes insurance benefits (medical, dental, vision, disability, and life), 401(k) with company match.

COUNTRY Financial is committed to providing equal opportunity in all areas of employment, and in providing employees with a work environment free of discrimination and harassment. Employment decisions are made without regard to race, color, religion, age, gender, sexual orientation, veteran status, national origin, disability, or any other status protected by applicable laws or regulations.