Supervisory Operations Manager

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

The Supervisory Operations Manager is responsible for the oversight of all client activities within the Complex (group of branches).The Supervisory Operations Manager will work closely with the Compliance, Legal and Operations departments.Additionally, this individual will coordinate any compliance, legal and operational matters involving the Complex with Home Office, Compliance, Legal and other staff in the firm.

What are you good at

• 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. The Supervisory Operations Manager will work closely with the Complex Manager and will apprise the Complex Manager daily of any problems or any items requiring the direct involvement of the Complex Manager.
• The Supervisory Operations Manager will work closely with the Compliance department staff to insure that the Complex is in compliance with all firm policies, and industry rules and regulations.The Supervisory Operations Manager will also coordinate all Complex audits with the Compliance department and is actively involved in implementing any corrective steps if they are needed.
• Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems.
• Conduct regular staff meetings as a forum for training on new policies and procedures, and any new FINRA, state rules or regulations.
• Will assist the Complex Manager in screening new Financial Advisor candidates and may be involved in the on-boarding of new Financial Advisors.

What you have

Requirements:

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

Why work for us?

Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus, Employee Ownership, and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. Fostering a positive workplace experience remains a top priority. People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.