Enable job alerts via email!

Remote Advice Controls %26 Operations Manager

Equitable

City of Syracuse (NY)

Remote

USD 70,000 - 81,000

Full time

14 days ago

Generate a tailored resume in minutes

Land an interview and earn more. Learn more

Start fresh or import an existing resume

Job summary

A financial services company is seeking a Remote Advice Controls & Operations Manager to supervise compliance processes for their remote team. The role involves conducting audits, providing training, and contributing to operational strategies while requiring significant knowledge of financial products and licenses. Ideal candidates will demonstrate strong client relationship capabilities and communication skills in a supportive, growth-focused environment.

Benefits

Comprehensive benefits package
Performance-based compensation
Opportunities for growth and internal mobility

Qualifications

  • 3+ years of relevant experience with required FINRA licenses.
  • Thorough knowledge of life, annuity, and investment products.
  • Excellent verbal and written communication skills.

Responsibilities

  • Supervise compliance and operational processes for remote financial professionals.
  • Conduct compliance audits and provide training.
  • Manage renewals and sentiment for the Advisor Assist Program.

Skills

Client relationship building
Coaching skills
Analytical skills
Communication skills

Education

FINRA Series 7
FINRA Series 63
FINRA Series 24 (must obtain)

Job description

Remote Advice Controls %26 Operations Manager

Pay Competitive

Employment type Full-Time

Job Description
    Req#: 250000BV Employer Industry: Financial Services

    Why consider this job opportunity:
    - Salary up to $70,000
    - Performance-based compensation including base salary increases, spot bonuses, and short-term incentive opportunities
    - Comprehensive benefits package including medical, dental, vision, 401(k) plan, and paid time off
    - Opportunities for growth and internal mobility within the organization
    - Work in a collaborative and supportive environment focused on personal and professional development

    What to Expect (Job Responsibilities):
    - Supervise compliance and operational processes for 75+ Financial Professionals in the Remote Advice team
    - Monitor and maintain compliance surveillance reports in partnership with the Branch Controls Manager
    - Conduct compliance audits and provide ongoing training for Financial Professionals
    - Manage renewals and sentiment for the Advisor Assist Program, creating reports for client retention
    - Identify emerging client and advisor needs while contributing to operational strategies

    What is Required (Qualifications):
    - 3+ years of experience with FINRA Series 7 and Series 63 or equivalent
    - Ability to obtain FINRA Series 24 license within 90 days of hire
    - Thorough knowledge of life, annuity, and investment products, including proprietary and non-proprietary offerings
    - Superior client relationship building and coaching skills
    - Excellent verbal and written communication skills, with the ability to interpret documents and discuss investments

    How to Stand Out (Preferred Qualifications):
    - Strong analytical skills and the ability to work effectively in various situations
    - Excellent interpersonal and communication skills
    - Experience in managing multiple projects and initiatives
    - Ability to influence and motivate team members to achieve goals
    - Leadership and conflict resolution skills

    #FinancialServices #CareerOpportunity #CompetitivePay #GrowthOpportunities #TeamCollaboration

    "We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
    We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer."
About the company

A financial services company with a legacy of helping people look forward with courage, strength, and wisdom.

Notice

Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.

Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000.

Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility.

An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report . NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.

Get your free, confidential resume review.
or drag and drop a PDF, DOC, DOCX, ODT, or PAGES file up to 5MB.