Regional Operations Manager - Series 9/10

Ascendo Resources; Seattle (WA); On-site; USD 85,000 - 120,000; Full time

Job summary

Ascendo Resources is seeking an experienced individual to oversee branch operations in Seattle, United States. The role demands 5+ years of management experience in a broker dealer or wealth management context.

Key responsibilities include leading the Client Service Associate team and ensuring compliance with FINRA regulations. An active FINRA Series 9/10 license and a bachelor's degree in a related field are required.

Qualifications

• 5+ years of management experience within a broker dealer or wealth management firm.
• Active FINRA Series 9 and 10 License is required.
• Proficiency in FINRA regulations and compliance policies.

Responsibilities

• Oversee branch operations and administrative support.
• Lead recruitment and management of Client Service Associate team.
• Conduct performance evaluations and personnel decisions.
• Educate branch employees on administrative policies.

Skills

Management experience

Knowledge of FINRA regulations

Client service policies

Education

Bachelor's degree

Job description

We are seeking an individual with experience in management and holds an active FINRA Series 9/10.

Responsibilities

• Oversee the administration of branch operations and provision of comprehensive administrative support.
• Lead the recruitment, selection, onboarding, training, and management of the Client Service Associate team to ensure optimal performance.
• Conduct regular performance evaluations and make key personnel decisions related to compensation, promotions, and professional development.
• Educate and train all branch employees on administrative policies, procedures, and compliance requirements.
• Address and escalate supervisory issues when necessary, and ensure local follow-up on any issues identified by the management team.

Requirements

• 5+ years of management experience working within an established broker dealer or wealth management firm.
• Hold an active FINRA Series 9 and 10 License.
• Bachelor's degree within related field
• Proficiency and sound knowledge with FINRA regulations and client service policies and procedures.