Investment Services New Business Manager

CCSI CC Services, Inc.; United States; Hybrid; USD 114,000 - 157,000; Full time

Benefits offered by this job

Insurance benefits

401(k) with company match

Paid time off

Job summary

COUNTRY Financial is seeking an experienced leader to manage new business processes and broker-dealer operations within the Investment Services Division, coordinating onboarding, administration, and issue resolution with Compliance and other teams.

The role emphasizes overseeing suitability and regulatory compliance, mentoring teams across divisions, driving measurable process improvements, and supporting disaster recovery, retirement plans, tax reporting, investments, and asset allocations.

Qualifications

• 8+ years of relevant experience or equivalent combined experience with leadership.
• FINRA registrations (SIE, Series 6, 63, 26, 51) and Life & Health Insurance licensing required within 6 months.

Responsibilities

• Oversee new account onboarding and broker-dealer operations for the Investment Services Division.
• Lead onboarding, administration, and issue resolution in coordination with Compliance and other teams.
• Oversee suitability reviews and regulatory compliance with applicable laws and regulators.
• Provide training on technical and regulatory issues for retirement plans, tax reporting, investments, and asset allocations.
• Support disaster recovery planning and execution across assigned areas.

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.

Impact of the role

• 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 The base pay range represents the typical range of potential salary offers for candidates hired. Factors used to determine your actual salary include your specific skills, qualifications and experience. 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.

• 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.

Location and Work Arrangements

Country is headquartered in Bloomington, IL and offers hybrid, onsite and remote opportunities. If you're based at our Bloomington, IL corporate office, you'll enjoy a hybrid work schedule - three days in the office and two days working remotely. For roles posted as remote, candidates who live more than 50 miles from Bloomington, IL may qualify for a fully remote arrangement.

Benefits and Investment in Your Career

From the moment you’re hired, we invest in you. We know job satisfaction fuels your contribution, so we offer competitive benefits and make investments that help you achieve your professional goals:

• Insurance benefits (medical, dental, vision, disability and life)
• 401(k) with company match
• Paid time off, parental leave, paid company holidays and paid time off to volunteer in your community
• Tuition assistance and industry education certificates and designations
• Employee resource groups to connect with your peers.