Senior Operations & Compliance Lead

Janney; Houston (TX); On-site; USD 100,000 - 130,000; Full time

Benefits offered by this job

Paid Parental Leave

Paid Time Off

$2,000 referral bonus

Employee Ownership

Professional Development Assistance

Job summary

Janney is seeking a Supervisory Operations Manager to oversee client activities across the Complex, coordinating with Compliance, Legal and Operations and liaising with Home Office. You will review forms, monitor daily transactions, and ensure adherence to firm policies and industry rules.

You will lead staff meetings, maintain knowledge across products and systems, assist in screening candidates for Financial Advisor roles, and support audits and corrective actions.

Qualifications

• High School diploma; Bachelor's Degree preferred.
• Series 7, 9 and 10, 63, 65 and/or 66 licenses.
• Excellent customer service skills.
• Computer skills in Word, Excel, PowerPoint and Outlook.
• Able to work in a fast-paced, deadline-driven environment.
• Strong attention to detail; able to work as part of a team.
• Some travel may be required.
• High ethical standards.

Responsibilities

• Review and approve new account forms, client letters of authorization, all sales correspondence - both written and electronic.
• Review daily sales transaction, daily blotter and all daily exception reports for the entire Complex.
• Coordinate compliance, legal and operational matters involving the Complex with Home Office, Compliance, Legal and other staff.
• Coordinate audits with the Compliance department and implement corrective steps as needed.
• Maintain advanced knowledge base on all products, services, forms and systems.
• Conduct regular staff meetings to train on new policies, FINRA/state rules, and procedures.
• Assist Complex Manager in screening new Financial Advisor candidates and on-boarding.

Skills

Customer service

Attention to detail

Teamwork

Communication

Compliance awareness

Education

Bachelor’s degree preferred

Tools

Word

Excel

PowerPoint

Outlook

Job description

Janney is seeking a Supervisory Operations Manager to oversee client activities across the Complex, coordinating with Compliance, Legal and Operations and liaising with Home Office. You will review forms, monitor daily transactions, and ensure adherence to firm policies and industry rules.

You will lead staff meetings, maintain knowledge across products and systems, assist in screening candidates for Financial Advisor roles, and support audits and corrective actions.