Operations Lead, Financial Services & Compliance

Raymond James; BLOOMINGTON (MN); On-site; USD 70,000 - 100,000; Full time

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

Retirement plan

Paid time off + market holidays

Tuition assistance

Discretionary bonus

Job summary

McNellis & Asato, Ltd. is seeking an Operations Manager to lead the branch's daily operations, drive efficiency, and oversee front- and back-office activities.

The role requires experience, strong organizational skills, and the ability to manage projects while ensuring compliance with firm policies and industry regulations. Ideal candidates will supervise branch operations staff, coordinate licensing and education, and contribute to client service and events in a discreet, professional

Qualifications

• 5+ years of industry experience and leadership experience.
• SIE, Series 7, 66, 9/10 or ability to obtain within stated period.
• Knowledge of firm policies, procedures, and industry regulations.
• Onsite work environment and professional discretion.

Responsibilities

• Perform all operational functions as workloads require.
• Assist Branch Owner with confidential matters and cost control.
• Lead branch meetings and supervise operations associates.
• Recruit, train, and evaluate operations staff; manage performance files.
• Coordinate staffing, cross-training, licensing, and registrations.
• Manage branch marketing and client events; ensure regulatory compliance.

Skills

Project management

Organization

Leadership

Time management

Compliance

Tools

Microsoft Office

Job description

McNellis & Asato, Ltd. is seeking an Operations Manager to lead the branch's daily operations, drive efficiency, and oversee front- and back-office activities.

The role requires experience, strong organizational skills, and the ability to manage projects while ensuring compliance with firm policies and industry regulations. Ideal candidates will supervise branch operations staff, coordinate licensing and education, and contribute to client service and events in a discreet, professional