Manager, Brokerage Operations

First Command Financial Services, Inc.; Fort Worth (TX); On-site; USD 90,000 - 120,000; Full time

Job summary

First Command Financial Services, Inc. in Fort Worth, TX is seeking an Operations Manager to oversee the Brokerage Operations team, execute daily functions, drive growth, and mitigate regulatory and reputational risk while responding to clients and advisors.

The role requires a Bachelor's in finance/economics/business, 5+ years in financial services, 2-3 years coaching, and securities licenses (Series 7, Series 24 within 120 days; Series 63 may be required).

Qualifications

• Bachelor’s degree in finance, economics, business administration, or related field.
• 5+ years of experience in the financial services industry.
• 2–3 years coaching, supervising, and managing a small to mid-size team.

Responsibilities

• Manage team resources and ensure regulatory compliance and productivity.
• Collaborate with management to set priorities and monitor progress.
• Review teamwork practices for quality and regulatory adherence.
• Analyze metrics and factors to guide department decisions.
• Own escalated issues and delegate to drive resolutions.
• Develop and implement training opportunities using available resources.
• Coach and mentor associates for performance and growth.
• Maintain and improve process controls and user guides.
• Identify solutions to improve client/advisor experiences.

Skills

Leadership

Team coaching

Regulatory awareness

Agile/Lean knowledge

Analytical thinking

Communication

Problem-solving

Collaboration

Education

Bachelor’s degree in finance/economics/business administration

Tools

Microsoft Office Suite

Job description

Job Description

Operations Manager is responsible for carrying out the goals and the daily execution of the Brokerage Operations department functions and driving business growth of the department through effectively responding to the needs of our clients, advisors, and team. Operations Manager is responsible for managing and accountability of a team of associates charged with executing day-to-day business and mitigating financial, operations, regulatory and reputation risk to the firm. Identify and support deadline sensitive financial transactions processing as well as maximize the production of non-deadline sensitive processing and research. Operations Manager effectively delegates tasks with clearly defined responsibilities. Foster a collaborative environment working with Advisors, office staff and other home office departments including Compliance, Customer Service, Financial Services, and Technology. Additionally, you will take part in the organization and the department as a member of an Agile Release Train, shared services, or subject matter expert in innovation initiatives in service, operations, and technology. You will impact the organization through maintaining flexibility and learning additional new skills.

How will this role impact First Command?

Operations Manager is responsible for carrying out the goals and the daily execution of the Brokerage Operations department functions and driving business growth of the department through effectively responding to the needs of our clients, advisors, and team. Operations Manager is responsible for managing and accountability of a team of associates charged with executing day-to-day business and mitigating financial, operations, regulatory and reputation risk to the firm. Identify and support deadline sensitive financial transactions processing as well as maximize the production of non-deadline sensitive processing and research. Operations Manager effectively delegates tasks with clearly defined responsibilities. Foster a collaborative environment working with Advisors, office staff and other home office departments including Compliance, Customer Service, Financial Services, and Technology. Additionally, you will take part in the organization and the department as a member of an Agile Release Train, shared services, or subject matter expert in innovation initiatives in service, operations, and technology. You will impact the organization through maintaining flexibility and learning additional new skills.

What will the employee do in this role?

• Manage team resources and ensure team performance conforms to regulatory requirements and meets department productivity and quality standards.
• Work collaboratively with management staff to set priorities, monitor activity, and ensure completion of work.
• Perform regular review of teamwork practices to ensure quality and compliance with internal and regulatory standards.
• Critically think beyond day-to-day operations and analyze a variety of factors and metrics when making decisions for the department.
• Take ownership on escalated issues and exception management and delegate as appropriate to drive resolution.
• Identify, develop, and implement training opportunities/strategies using experience as well as corporate and divisional resources.
• Direct, coach and mentor the professional growth and success of associates.
• Successfully manage a pay for performance model that recognizes and rewards the achievement of individual, team, department, and corporate goals.
• Maintain, design, and implement process control procedures and department procedures and user guides where necessary to ensure timely processing and mitigate risk.
• Research/recommend solutions on issues within the department.
• Focus on identifying, developing, and implementing opportunities to improve and/or streamline the client/advisor experience.
• Perform in a supportive role in maintaining relationships with business partners.
• Represent the department in corporate strategic initiatives as a key stakeholder.

What roles will this employee lead?

• Assigned teams in Operations

What skills and qualifications do you need?

Education

• Bachelor’s degree in finance, economics, business administration, or related area or equivalent combination of education and experience preferred.

Work Experience

• 5 plus years of experience in the financial services industry.
• 2-3 years coaching, supervising, and managing a small to mid-size team.
• Familiar with a variety of Financial/Brokerage industry concepts, practices, and procedures

Certifications

• Series 7 (Required)
• Series 24 required (must obtain within 120 days of employment)
• Series 63 may be required depending on daily responsibilities.

Required Knowledge, Skills And Abilities

• Strong oral, written and organizational skills.
• Proficient use of Microsoft Office Suite
• Problem-solving skills with the ability to analyze trends and identify and communicate problems or concerns.
• Demonstrate confidence, skill, and professionalism needed to resolve critical issues in a manner that strengthens the client relationship and mitigates risk for the firm.
• Knowledge of Agile and /or Lean methodology
• Executes with a sense of urgency, a drive to make an impact, and a high level of self-confidence.
• Must be able to work well in high pressure situations and elevate workloads.
• Desire and ability to actively and positively contribute within a highly collaborative team setting.
• Curiosity and demonstrated ability to acquire new skills, knowledge, and abilities.
• Willingness to remain responsive and flexible in a dynamic environment and support team’s deliverables.
• Ability to engage partners internally and externally in a professional and productive manner to maintain a high level of performance and service.
• Influence by remaining positive in all circumstances.
• Adapt quickly to changes.
• Have a passion for improving the client/advisor experience
• Desire to work in a self-organized team environment, celebrating success and taking accountability for goals and commitments.
• Deny mediocrity and possess high personal standards.
• Follow our vision of providing Lifelong Financial Security for Our Nation’s Military Families.
• Live by our core values: Courage, Love & Effectiveness